principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance

The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks

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

from 30 days to 7 days, and the cooling-off period* from 14 days to 3 days;    (2) mai/SET listing requirements for LiVEx-listed companies: To require an application for approval, compliance with the

technical assistance to the SEC under the First Initiative Project, Thailand: Enhancing SEC Assessment Capacity to enhance auditors? performance in compliance with international standards. The OAG, as the

six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________

Ms. Nopnuanparn Pavasant, Assistant Secretary-General of the Securities and Exchange Commission (SEC), delivered opening remarks at the ICO Portal Compliance Meeting 2025, organized by the SEC. The

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back

against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and

Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities