business operators to contribute to the society, SEC is going to issue a notification to allow social enterprises, including their shareholders, to make public offerings without prior approval or
this situation happens.SEC disseminates the public hearing document about this issue at SEC website: www.sec.or.th/hearing. Any related and interested parties are welcome to make comments on the
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
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consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
Line Open Chat ?SET Thailand Make your money work for you? impersonates ?Stock Exchange of Thailand (SET)? : Unlicensed securities and derivatives business (Disclosure Date : 12/11/2024)
shareholders carefully study all details, seek clarfications on all related matters from the company?s management and make an informed decision based on complete and correct information before casting their vote
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s