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...
) SEC_Vuttikrai Commerce Experiences Director General of Department of Intellectual Property , Ministry of Commerce Director General, Department of Business Development, Ministry of Commerce Inspector General
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Ms. Jomkwan Kongsakul, Deputy Secretary-General of the Securities and Exchange Commission (SEC), participated in a meeting with Mr. Varavongsa Ramangkura, Vice Minister of Commerce; Ms. Nusara
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in