audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

List of head of Compliance Please wait... List of head of Compliance   No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage

asset custody. The proposal also aimed to determine requirements for digital asset business operators who function as a digital wallet provider to prevent misuse of digital assets as a tool for committing

Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public

Thai Reporting Resault of Sales of Securities การใช้คุกกี้​ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์  และอาจใช้คุกกี้ชนิดจดจำ

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an opening remarks. The online training is in accordance with the physical distancing guidelines to help reduce and prevent the spread of the coronavirus disease 2019  (COVID-19).This online training

an investment management business. The amendments aim to prevent the use of the initial public offering channel as a regulatory arbitrage tool. The public hearing on this matter was completed in May

areas to prevent conflicts of interest. Additionally, DA operators will be required to establish internal rules or procedures for customer asset safekeeping.   In this regard, the current DA operators