Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
operation monitoring. 5.1.2 The board should nurture innovation that enhances long-term value creation for the business in a changing environment. Such innovation may include designing innovative business
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
) Investors have the capabilities to develop strong financial health. Alongside the five key results, the SEC has initiated an innovative organization plan to be the key enabler in developing the
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be
สำนักงาน ก.ล.ต. ภายใต้งาน Live SE Night ซึ่งจัดโดย SE Thailand (วันที่ 21 ม.ค. 64) เสวนาหัวข้อ “Brainstorming the way forward in using innovative finance in supporting SEs" โดย คุณรื่นวดี สุวรรณมงคล ภายใต้
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons