principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
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
digital asset issuance and offering in the primary market and the undertaking of digital asset businesses in the secondary market remains in compliance with the Emergency Decree on Digital Asset
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
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back
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...
Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital