shares has been launched at 1.25 baht per share, Bee has been found purchasing 1,017,500 EIC shares through the Stock Exchange of Thailand (SET) at 3.50 baht a share.  The tender offer will be closed on

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

Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and

KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Brown Field Infrastructure Fund | Offering Date : 22/06/2015 - 26/06/2015

หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง

Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1

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

-compliance, the Minister, upon the recommendation of the SEC, may consider revoking its licence. In this regard, the Minister, upon the recommendation of the SEC, may order the digital asset business operator

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

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to