compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. On

และผู้ค้าคริปโทเคอร์เรนซี ปฏิบัติไม่เป็นไปตามหลักเกณฑ์ เงื่อนไข และวิธีการที่ประกาศกำหนด กล่าวคือ แต่งตั้งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล ("Head of Compliance") รายใหม่ ล่าช้ากว่าระยะ

RMC Chairperson, discussed with SEC executives and relevant departments to establish No Gift Policy in compliance with relevant laws and regulations. Additionally, guidelines for communication were

Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN

decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of mutual fund investment units must include mutual fund?s significant information for investor?s

Ms. Jomkwan Kongsakul, Deputy Secretary-General of the Securities and Exchange Commission (SEC), participated in a panel at the Global Regulatory Forum on the topic "Compliance and Resilience at a

could not rectify the problem within the specified period, which is deemed non-compliance with Clause 9(3) of the SEC Notification No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives

for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this

Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8

, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8. 3 Division 4 Powers of the SEC Office