therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
according to the Service Level Agreement; 3) Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business
business operators providing bond securities business services to examine and ensure that the ultimate beneficiary owners (UBO) register for their authentication with the BOT before providing the
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานเสวนา Lunch-time discussion on business and human rights in Thailand เพื่อร่วมแลกเปลี่ยน
costs for these business operators. The SEC solicited feedback on the proposed principles and draft regulations from the public and stakeholders in July 2566. Most respondents supported the proposed
Pcl., and Mr. Kasin Suthammanas, CEO of FINNOMENA Mutual Fund Brokerage Securities Co., Ltd. The panel discussion was moderated by Dr. Charika Channuntapipat, Research Fellow, Business and Sustainable
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
SEC Thailand https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9170 SEC public hearing on draft regulations defining the terms, “executive” and “business in the group” under the Digital Asset