Facebook Page ชื่อ Trading on the stock exchange : Unlicensed securities and derivatives business (Disclosure Date : 13/12/2023)
The SEC has disclosed the statistics on the reporting of investment scams in the capital market through the Investment Scam Hotline 1207, extension 22. The reporting system is also available on
On 17 May 2022, the Capital Market Supervisory Board Meeting No. 4/2565 passed a resolution approving in principle the proposed amendments to the regulations on approval for issuance and offering for
Facebook page “Sawakami Securities Company buys and sells on the stock market” impersonates “Sawakami Asset Management (Thailand) Co., Ltd.” : Unlicensed securities and derivatives business
plan will put an emphasis on investor protection in the following areas: 3.1 Communications with investors: Improve prospectus by making it easy to understand, include risk information in the mutual
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
how the firm ensures that all personnel are aware on a timely basis of those entities to which independence policies apply. 14 Does the firm have any engagements where it acts as a principal auditor or
, in terms of learning skills and working behaviors. With the focus on four main areas: technical skills, soft skills, managerial skills and fundamental skills such as English language proficiency and