Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The

seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be

Following the SEC's monitoring and examination of Bitazza operations, it was found that the company has significant deficiencies in critical systems related to the operation of digital asset business

of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of

workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan

examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3

; □ (2) Copy of the memorandum summarizing the examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking

in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect

2017 ended September 30, 2017. Such financial statements comprise of the consolidated financial statements and the separate financial statements as compared with the financial statements for the first

the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by