obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or
the countermeasures taken by the government to control social gathering activities, including travel restrictions and the closure of venues considered high-risk areas, the Thai economy in 2020 is
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement
statements. The request was made on the ground that the independent financial advisor is in process of exploring and gathering documents and evidence as well as more information from overseas authorities for