) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
leaders among the SEC staff and regulated agencies.”SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC’s objective is to supervise and develop the Thai capital market as the key platform for
underlying purpose of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018), which has come into force on 14 May 2018, is to regulate and supervise the use of digital assets as fund-raising instruments
underlying purpose of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018), which has come into force on 14 May 2018, is to regulate and supervise offering of digital tokens and undertaking of digital
products altogether.Such behavioral information poses a big question for the SEC as to how best to supervise and develop the overall mutual fund business to ensure that products and services would truly
to take trading orders from a person who was not the account's owners and did not supervise subordinates to comply with regulations. The SEC, therefore, suspended {C} from his investor contact status
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
authority, duties, responsibilities, independence and assignment of the Board of Directors to supervise, screen information and give an opinion to the Board of Directors. The disclosure of such information
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration s...
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind