make sure that all comments and suggestions will be taken into account as the SEC maintains the balance between industry development and appropriate investor protection. Given the 24/7 non-stop operation
the one who forged the client?s signature in the investment unit buying order for himself, using money that Thanjira had taken from the client?s private fund and investment unit accounts. The signature
, two audit and financial report projects, and one digital technology and corporate excellence project. Actions taken include: (1) Repealing the requirement for submission of the Summary of Types
capital market business personnel. The SEC is considering actions to be taken in this regard. ________________________
, Challenges and Assessment Methods.” Registration is valid until Monday, 31 August 2020. The online training course can be taken until Friday, 30 October 2020. Interested persons can find out more about the
around climate change analysis, in order to make best informed investment decisions with climate factors taken into consideration.”Mr. Sornchai Suneta, the President of CFA Society Thailand, stated that
taken the corporate governance course, he or she must complete the course within one year from the effective date of the regulations; (3) Business operations standards: Requiring DA operators to
and have taken effect from 1 January 2024 onwards. ________________________Remarks: * The regulations on the compulsory issue rating by an international credit rating agency established under foreign
on the amended regulations have been published in the Government Gazette and have taken effect since 16 January 2024. ________________________Remarks:Notifications on the relevant regulations are: 1
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged