SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
The Office of Securities and Exchange Commission (SEC) appointed ?Director Responsibilities Steering Group? to follow up practices and efficiency of directors of listed companies. This is expected to
Facebook page "CJ Group" impersonates “Carabao Group Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 25/07/2024)
EBC FINANCIAL GROUP : Unlicensed securities and derivatives business (Disclosure Date : 17/09/2024)
KNM GROUP BERHAD | Q1/2017
KNM GROUP BERHAD | Year 2016
Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
Company Profile - OISHI GROUP PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 May 2023 00:39 Company Profile OISHI GROUP PUBLIC COMPANY LIMITED Please
Company Profile - TAKUNI GROUP PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 May 2023 00:44 Company Profile TAKUNI GROUP PUBLIC COMPANY LIMITED Please
Pepperstone Group Limitted Website: www.pepperstone.com : Unlicensed securities and derivatives business (Disclosure Date : 03/04/2017)