Facebook page Power DL : Unlicensed securities and derivatives business (Disclosure Date : 07/07/2023)
Facebook page Power DL : Unlicensed securities and derivatives business (Disclosure Date : 07/07/2023)
granted by the SEC Board or the Minister of Finance. Statutory Power The SEC has powers and authorities under the SEC Act to regulate all aspects of the securities market. These include powers to grant or
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. In this regard, the SEC
power to appoint an audit committee, ad hoc sub-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the
must be prepared by independent financial advisors. The waiver will last for a period of 3 years and is estimated to significantly reduced the cost of the offering of securities for small and medium size
policy to ensure that KBank has effectively and practically implemented market conduct management which is in alignment with customers’ needs and purchasing power, through in-depth understanding of them
or the Sustainability Officer? Is it an issue for Public Affairs or Stakeholder Relations? Circumstances will vary according to company size, policy and circumstance. Investors need to engage the
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...