have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
capital market, it was found that over 76,000 accounts had started investing in stock with over 100,000 fund accounts, which is the most a province in the Northern region has. Moreover, in the last 5
or IFIAR?s acceptance as a member showing that the SEC is independent from the professionals and auditor supervision in line with international practices. In addition, the European Union?s endorsement
International Forum of Independent Audit Regulator or IFIAR?s acceptance as a member showing that the SEC is independent from the professionals and auditor supervision in line with international practices. In
as a growth incentive. For example, investment of institutional investors in ESG complying companies, ESG education of capital market business personnel, investors and the public, and activities of
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานสัมมนา “Women in Business: Why Thailand is a success story in women leadership” และกล่าว
This regulatory guillotine discussion is the first in the virtual talk series under the theme, “How to Regulate to Earn Investor Confidence and Global Competitiveness.” The main objective is to