business development and creating business innovation with the SEC.?Sukiet Kittitammachote, Senior Manager, Corporate Affairs of Ek-Chai Distribution System Co., Ltd. or Tesco Lotus, said ?Tesco Lotus is
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth Securities Company Limited, had made trading orders before informing the client who did not mak...
global effort to reduce carbon emissions leading to global warming. SEC has therefore upgraded the Online Fund Approval and Management System (“OFAM”) to accommodate paperless filings.Businesses can
to licensees' intention and a linkage of renewal training results from the training institutes with the SEC system. This digital approach will bring more convenience to more than 80,000 current
ผู้แนะนำการลงทุนสาขาแห่งหนึ่ง โดยพบว่ามีการส่งคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าที่อ้างอิงราคาหุ้นของบริษัทจดทะเบียนในตลาดหลักทรัพย์ที่มีการซื้อหรือขายในปริมาณมากในลักษณะ Block Trade (Single Stock
Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
reporting system of firms in the capital market. Furthermore, the quality control system of the audit firms greatly contributes to the quality performance of auditors. The SEC now requires that auditors in
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in