Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
SPRC disclosed information via the Stock Exchange of Thailand Information System during 21-26 February 2020 regarding the business email compromise that occurred in late 2019, which resulted in
Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน “GCNT FORUM 2020: Thailand Business Leadership for SDGs” จัดโดยสมาคมเครือข่ายโกลบอลคอมแพ็ก