นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. พร้อมด้วยนางปะราลี สุคนธมาน ผู้ช่วยเลขาธิการ และคณะผู้บริหาร ได้เข้าร่วมประชุม ASIFMA Compliance and Legal Conference 2019 ณ ประเทศฮ่องกง ระหว่างวันที่ 29
seeking advice on fundraising or applying for a digital asset business license in compliance with th Royal Decree on Digital Asset Businesses B.E. 2561 (2018) are welcome to contact the SEC Digital Asset
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
years ago which was non-compliance with the conditions on LTF tax benefits. The client was subject to retroactive tax payment plus surcharges.Failure to provide complete information or advice by not
comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of
, and seeking the annual general meeting’s resolution for ratification of the financial support transaction is in compliance with corporate governance principles. The aforesaid loan transaction is
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international