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
to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors
investment and asked her to take care of the trading account.Monta failed to perform her duty in compliance with the company?s rules as she, by the clients? decision, submitted a number of securities and
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
management, and monitoring measures, control and review of compliance and work system; Principle 3: Institutional investors should make informed investment decisions and engage in active ongoing monitoring of
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and
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
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back
Bangkok, January 22, 2014 ? Following the acquisition of control over Electronics Industry Public Company Limited (EIC) by Bee Taechaubol and Thai Prime Co.Ltd., where the tender offer for all EIC 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 January 27, 2014.As the purchase price is higher than the tender offer price, it caused unfair tre...