amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
capital market as a significant vehicle in driving the country's infrastructure development as it could provide opportunities for state and private entities to use income-generating projects to raise fund
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมงานสัมมนา “An Accelerating Implementation for Climate Strategies” จัดโดย ERM (Environmental Resources Management) ภายใต้หัวข้อ
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
loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were
that our cooperation with the Federation of Thai SME will help SMEs access funds in the capital market more efficiently which is in line with the 3rd Thai Capital Market Development Plan (2017-2021
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
The event is with the objective to continuously drive forward the Thai capital market because SEC recognizes the significance of the encouragement and development of knowledge regarding finance
should ensure that a proper mechanism is in place for the nomination and development of senior management executives and management of personnel structure, ensure effective performance of duties by the CEO
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include