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
ระบบติดตามสถานะของคำร้อง (CASE PROGRESS)
Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
Bangkok, July 21, 2014 ? The SEC announced the results of the 3rd Mekong Capital Markets Cooperation (MCMC) meeting in Pattaya City that all 5 member countries agreed on mutual benefits of this collaboration framework and entered into MoU signing to lay the foundation for capital market cooperation to promote sustainable growth in the region. Vorapol Socatiyanurak, SEC Secretary-General revealed the meeting results of the 3rd MCMC meeting hosted by the SEC recently in Pattaya City last month. P...
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...
Bangkok, February 4, 2016 ? In the continued support to Thaipat Institute?s assessment of Thai listed companies based on the 2015 Anti-corruption Progress Indicators, the SEC has marked an overall