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 alleviate the risk of frauds.Moreover, it is advisable to be cautious when being solicited to invest in ICOs or to buy any digital token for the time being since there are neither approved ICO
หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง
the SEA?s Section 241, securities trading of the former GPF head in advance of the fund by using information about the fund?s pending orders (front running) is a breach of professional ethics for taking
;">ที่ กลต.กธ. (ว) 21/2555 เรื่อง การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง Head of compliance ตามที่สำนักงานได้นำส่งประกาศคณะกรรมการกำกับตลาดทุน ที่ ทธ. 39/2555 เรื่อง การจัดการให้มีหน่วย
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors, including foreign digital asset business operators, were soliciting the public to make investments with, or use services of, such unlicensed entities at a financial technology exhibition held at a shopping center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regar...
Bangkok, December 19, 2006 ? In reference to the trading plunge on the Stock Exchange today, the SEC is urging foreign investors to pay close attention to all facts before making careful and well-informed decisions to take any action on their portfolios. The drastic fall is believed to have resulted from foreign investors? worries over the measures on foreign short-term capital inflows launched by the Bank of Thailand earlier in the day. Thirachai Phuvanatnaranubala, SEC Secretary-General...
Bangkok, August 10, 2009 ? The SEC urges investors to use discretion in using unverified news information, especially the one claimed to be from news sources, since it is likely to be untrue. With regard to recent dissemination of unsubstantiated information about listed companies, in such matters as business takeover, prospective purchase or sale of shares by major shareholders and investigation to be conducted on the company regulatory bodies, such news may actually be given by those who clai...