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Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
-19 Crisis หัวข้อ “Policy Panel on Regulation and Framework in the Region” โดยให้ข้อมูลเกี่ยวกับการดำเนินการของ ก.ล.ต. ในการส่งเสริมการเงินที่ยั่งยืน (sustainable finance) ผ่านกลไกตลาดทุนไทย พร้อม
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
of the requirement to appoint the independent directors are also provided. The regulations are expected to become effective in January 1, 2015.The draft regulation and consultation paper are available
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firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
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Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs