Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook adver...
สนใจ เช่น ความเสี่ยง เครื่องมือ และแนวทางการกำกับดูแลใหม่ ๆ ได้แก่ RegTech Crypto และ Surveillance การกำกับดูแลโดยใช้ Behavioral Cluster Analysis การบริหารจัดการความปลอดภัยของระบบและข้อมูลตามมาตรฐาน
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
financial statements by May 27, 2015. AIE was also required to clarify the auditor?s inquiries on cost of sales and inventories by May 12, 2015. The SEC received AIE audit committee report concerning the
), the shareholders should not ratify this transaction because the agreement contains a condition requiring GSTEL to appoint the Mahachai Group as its sole sales distributor for a period of five years
พร้อมพวกอีก 4 ราย ได้แก่ (1) นายคริส ลัม ตำแหน่ง Regional Head of Digital Sales Asia Pacific (2) นายวิคเตอร์ วองซันเนโกโร ตำแหน่ง Deputy Head of Digital Sales Singapore Asia Pacific (3) นายชอง เจีย มิน
practice, and the questionable transactions of land sales and purchases. The company was also ordered to rectify the annual financial statements for the year 2015 and the interim financial statements for the
required to examine the issue raised by the auditor whether the questionable transactions of land sales and purchases were in line with the normal course of business operation.Concurrently, the SEC
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the