their duties to the fullest extent. Throughout 2019, the SEC organized training sessions and seminars on emerging issues with significant changes to stakeholders at all levels, e.g., executive officers of
กระทรวงพาณิชย์ ตัวชี้วัดดังกล่าวประเมินประสิทธิภาพของกฎหมายที่เกี่ยวกับ การให้ความคุ้มครองผู้ลงทุนเสียงข้างน้อย โดยแบ่งการประเมินออกเป็น 2 หัวข้อ ได้แก่ Extent of conflict of interest regulation index (การ
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
derivatives. (2) “Gold business operator” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on Securities and Exchange; “beneficial owner of derivatives traded by a client” means: (1) an owner or co-owner
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
work experience in the management level that is beneficial to management of securities business, or work experience as an academic expert or professional in accounting, finance, business administration