of derivatives exchange to be in consistent with cost in connection with supervision on such business borne by the SEC Office.
trading transaction that takes place on the Stock Exchange. The securities clearing house or any involved person may not cancel, amend, or change a trading transaction. Clause 46 A securities clearing house
(CSSF), the Luxembourg financial regulator, with whom SEC has been cooperating in exchange of information related to supervision of asset management companies and mutual funds since 2012. Both parties
supervision of corporate finance, corporate governance, market and securities businesses.Mrs. Supantanet, who was appointed Assistant Secretary-General in 2016, oversees the line of work related to fund
The Securities and Exchange Commission (SEC), in collaboration with the Information System Audit and Control Association – Bangkok Chapter (ISACA Bangkok Chapter), the Thailand Information Security
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
Bangkok, April 10, 2015 - The SEC summarized the development and supervision on the capital market from late 2011 to early 2015 with achievements in lifting up the Thai capital market to match the
licensed securities business operators in the category of private fund management – professionals who possess the requisite knowledge and expertise and operate under the supervision of the SEC