Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management
risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to
taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting
Facebook page "GF Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 01/04/2026)
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Facebook page "GF Futures Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 27/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 02/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 04/03/2026)
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
จะร่วมกับเจ้าหนี้รายอื่นแต่งตั้งตัวแทน (securities agent) เพื่อดูแลหลักประกันดังกล่าวได้หรือไม่ และการตั้งตัวแทนดังกล่าวถือเป็นการตั้งตัวแทนตามมาตรา 100 แห่งพ.ร.บ. หลักทรัพย์ฯ หรือไม่