นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back

each client that contain accurate, complete, and up-to-date information in the event of returns mandate of client assets.   The SEC emphasizes the importance of monitoring the operations of business

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, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary

SEC’s 28th Anniversary Celebrations. We have set up two pantries, one at the front entrance and the other at the back ally of the SEC Building, to provide daily essential items such as rice, dry foods

such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj

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

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...