In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
project called “Elevate Life’s Pleasure” to deliver Life’s Pleasure experience through various types of quality glassware in consumers’ everyday life. Ocean Glass Public Company Limited Page 2/ 6
material information which has not yet been disclosed to the public. 01/04/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.33 Baht
agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth
using material non- public information for Mr.Suwat's profit. 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
>20/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.30 Baht SEC Act
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In