KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 20/05/2024 - 30/05/2024
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 26/11/2018 - 30/11/2018
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 28/06/2024 - 19/07/2024
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Guaranteed Fund | Offering Date : 10/06/2021 - 25/06/2021
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 11/02/2019 - 15/02/2019
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...
provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective from 11 June 2021 onwards without retrospective effect. Essentially, the Notification prescribes...
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s