. 2562 (2019), published in the Government Gazette on April 16, 2019 and effective April 17, 2019 onward. This legislation has increased the authority and responsibilities of capital market supervisory
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
Department Director-General has the authority to order violators or non-compliant parties to comply with the law within the established timeframe. If they fail 3 to do so, they will be subject to
transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
by digitalizing the whole process, which means more efficiency and convenience and less burdens on all parties involved. The platform will also support the development of professionals' potentials for
investment products that are suitable for them. Moreover, convenience will be provided to investors, such as contacting an oversea business operator and foreign currency exchange and transferring for the
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles