standardize business practices to ensure that operators are well-equipped in terms of management structure, work systems, particularly an efficient information technology (IT) systems with a penetration test
Securities and Exchange Commission Corporate Communication and Investor Service Department Tel. (66)2033-9502-5 E-mail: press@sec.or.th No. 128 / 2021 Thursday 8 July 2021 SEC advises the public and listed
impacts on the country’s financial system stability and the overall economy as well as potential risks toward the public and business sectors. For example, risk on loss due to price volatility
ทั่วไป : การเสนอขายต่อผู้ลงทุนในวง Private Placement: (PP10) และ Institutional Investor: (II) โดย issuer ไม่ต้องยื่นคำขออนุญาตกับสำนักงาน ก.ล.ต. ก่อน โดยการเสนอขายกับ PP10 คือ II ซึ่งเป็นผู้ที่สามารถ
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
structure that enables effective oversight and management of risks as well as more efficient systems and mechanisms to control their business management and operations. Consequently, it is expected that DA
qualifications of the license applicants, and to ensure that the licensing process is flexible and in alignment with the numbers of license types and license applicants, as well as the time for developing of the
: Building Confidence in the Capital Market NEWS Securities and Exchange Commission Corporate Communication and Investor Service Department Tel. (66)2033-9502-5 E-mail: press@sec.or.th No. 1 / 2019 Tuesday 8
Corporate Communication and Investor Service Department Tel. (66)2033-9502-5 E-mail: press@sec.or.th No. 20 / 2022 Friday 4 February 2022 SEC urges digital asset business operators to give priority to
2014 6 TSE vs OSE: Strategic consolidation 7 Importance of study on RTOs • Regulators need to strike balance between investor protection without delineating potential firms to enter the exchanges