The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials Training Course, Class 19, on the occasion of their study tour regarding organizational management with governance and organizational innovation to develop knowledge and new frameworks for operational practices. The event took place on 30 April 2024, at the SEC Building.
perceive the client ’s investment objective, knowledge, understanding and experience regarding securities investment in conjunction with the consideration of securities dealing transactions and giving of
ability. In case of a retail client, the securities company shall arrange sufficient information or evidentiary documentation to perceive the client’s investment objective, knowledge, understanding and
ใด ๆ เน่ืองจำกผู้ลงทุน perceive ว่ำ กองทุนรวมตรำสำรหนี้เป็นกองทุนที่มี นโยบำยกำรลงทุนในทรัพย์สินที่มีลักษณะเป็นตรำสำรหนี้ หลักเกณฑ์จึง ก ำหนดให้กองทุนรวมตรำสำรหนี้ต้องลงทุนใน pure หนี้ ≥ 80% ของ NAV
Board 2/2018 on February 22, 2018 has been approved the financial statements for year ended 31 December 2017. The basis for Qualified Opinion cause the effects of adjustment, if any, did not observe the
consideration of legal violations under the Digital Asset Business Law and other relevant legislations. Thanks to our collaboration, we observe a considerable progress made by the investigative task force. A
their rights of voting for the units they hold beyond the one-third rule. In addition, business operators offering mutual fund brokerage services to omnibus accounts have to observe the regulations
audit firms of the SEC-approved auditors to allow OAG officers to observe their overseas branches. This collaboration will give OAG officers an opportunity to exchange knowledge and experiences on audit
sent representatives to observe are Singapore, Malaysia, Taiwan, Hong Kong and the Philippines.However, after the ARFP project was officially launched on 1 February 2019, the first cross-border IPO