& McKenzie Company Partner and Head of Banking & Finance Mr. Thinawat Bukhamana said “the application of this digital technology, that will increase the potential in competitiveness and in efficiency of
. In carrying out the investigation, two possible offences involved in the case, i.e., insider trading and front running, must be considered separately as follows:1. Insider trading ? According to
List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
? backed by US subprime mortgages, the IOSCO has set up a task force to conduct a preliminary review of key issues raised by these incidents with an emphasis on (1) potential regulatory reform in the US and
to bringing prosperity and growth to Thai capital market and Kunming City in the future,? said Mr. Vorapol. Possible areas for collaboration were discussed including use of the Thai capital market as
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform s...
หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง
;">ที่ กลต.กธ. (ว) 21/2555 เรื่อง การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง Head of compliance ตามที่สำนักงานได้นำส่งประกาศคณะกรรมการกำกับตลาดทุน ที่ ทธ. 39/2555 เรื่อง การจัดการให้มีหน่วย
, recipient countries of those foreign inflows, should be cautious of possible asset price fluctuation associated with capital surge, caused particularly by carry trade strategy. To cope with such situation
advice on suitable products in compliance with standard of conducts;(3) Giving knowledge through activities and channels by preparing plan for financial literacy and investor potential for 2011-2013 which