KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Exchange Traded Fund : ETF,Sector Fund | Offering Date : 27/05/2013 - 03/06/2013
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...
บริษัท หลักทรัพย์จัดการกองทุนกรุงไทย จำกัด (มหาชน)|กองทุนรวมอีทีเอฟ,กองทุนรวมหมวดอุตสาหกรรม | วันที่เสนอขาย : 27/05/2556 - 03/06/2556
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into account in amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to al...
Protection Board, the Bank of Thailand, the Ministry of Commerce, the Royal Thai Police or the Court, for the benefit of coordinating and handling your complaint. Guidelines for filing a complaint ● In
> SEC Board > Mr. Vuttikrai Leewiraphan Our Structure SHARE : Detail Content SEC Board Mr. Vuttikrai Leewiraphan Permanent-Secretary, Ministry of Commerce
cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business
encompassing business control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________