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...

List of property fund managers Please wait... List of property fund managers No. List of Fund Managers Approval date Appointing Management Company Appointment Date Expiry date/Training date 1 MISS

Thai SEC Executives × Home >   เกี่ยวกับ ก.ล.ต. >   โครงสร้าง ก.ล.ต. >   คณะผู้บริหารสำนักงานคณะกรรมการ

The SEC?s new appointments are as follows: Name of Executives New Assignment 1. Mrs.Paralee Sukonthaman 1/        Director, Enforcement Department Director, Broker-Dealer Supervision

List of infrastructure fund managers Please wait... List of infrastructure fund managers No. List of Fund Managers Appointing Management Company Appointment Date 1 MISS KAWISARA THISADRONDILOK

investigation against Mr. Kris Khemadham, Miss Sangchit Laohathai, Mr. Suthep Kitsawat, and Mr. Pornchai Ua-Arayaporn, as the BSI?s board of director members and executives, on the charge of failure to prepare

business entity found to be related to the above executives as an intermediary for client payments. Such irregularities prevented the company from receiving full payments from end-customers according to

Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions

Thai Climate-related Risk Management for Asset Managers × Home >   Sustainable Finance >   Resource Center

Appeal Court, who had convicted all of the accused for such misconducts. ?The Appeal Court?s decision in this case will send a strong signal to executives of publicly traded company to become more cautious