Engineering Plc. (IFEC) in contravention of the SEC regulations on standards of conduct, effective from December 31, 2011. {A}, an investor contact of KGI Securities (Thailand) Co., Ltd., is suspended for two

Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter    Bond Dealer and Underwriter |- Fees (section 14 and 19

with greater opportunities to participate in the development of regulatory standards for international capital markets. It also enhances trust and confidence in the Thai capital market while showcasing

Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of

establishing standards recognized globally to attract investors. Representatives from relevant organizations, including ASEAN capital market regulators, the Asian Development Bank (ADB) and the ASEAN

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the

be eligible for cross-border offerings, the mutual funds must meet acceptable standards. Such mutual recognition would help to increase competitive edge of the asset management business in the

, which considered that such operation did not reach the standards as a professional required to perform, and failed to deliver services in quality. DAB Act S.94 in conjunction with 30 Settlement

standards or practices. This case is under consideration of the public prosecutor. DAB Act S.30 Criminal Complaint Filed with an Inquiry Official Dated 02/04/2025