Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
shares with par value at Baht 100 per share with these following details: 1.) Transaction Date Within the First quarter of 2020 (November 2019) 2.) Registered capital of Thai Identity Sugar Factory Company
digital asset issuance and offering in the primary market and the undertaking of digital asset businesses in the secondary market remains in compliance with the Emergency Decree on Digital Asset
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non https
Introduction SHARE : Detail Content Class Action is a type of civil proceedings whereby one or more plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the
SHARE : SEC urges digital asset business operators to give priority to cybersecurity and client’s asset safe keeping Friday 4 February 2022 | No. 20 / 2022 Bangkok, 4 February 2022 – The Securities and