ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group ซึ่งมีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และความคืบหน้าในการจัดการประเด็นต่าง ๆ รวมถึงการให้การสนับสนุนสมาชิกจาก IOSCO ใน

efficiency of enforcement.The Advisory Committee on Listed Company Monitoring comprises: (1)  Secretary-General as Chair; (2)  Deputy Secretary-General in charge of corporate finance as member;(3)  Deputy

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to

’ meeting on the said date in which the meeting had resolved to call for an Annual General Meeting of Shareholders for 2024. Even so, NUSA has yet to inform the SEC on the change of the 3 new directors in

customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person

convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee

control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN

or a relationship in any aspect or any other circumstances. “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position equivalent to any of

derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling