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...
Facebook page “Gold Trader Association” impersonates “Gold Trader Association” : Unlicensed securities and derivatives business (Disclosure Date : 24/06/2024)
Facebook page “สมาคมค้าทองคำ GOLD Traders Association” impersonates “Gold Traders Association” : Unlicensed securities and derivatives business (Disclosure Date : 31/07/2024)
Facebook Page อ้างชื่อ Stock Exchange Association : Unlicensed securities and derivatives business (Disclosure Date : 21/10/2024)
Facebook Page ชื่อ Association HGF Gold Stocks Traders : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
Facebook Page ชื่อ Thai Stock Trading Association : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
regulatory association. The main focuses of the proposed regulations are as follows: (1) Application for approval and granting of approval for the association: An applicant shall be granted an approval
AOP President Dr. Thachapol Kanchanakul said “The PVD Contest has been held for the 8th year now, graced with the presences of honorable professors from Chulalongkorn University and Thammasat University, who will serve as ad-hoc contest committees and will set out the requirements for scoring, as well as rank the participants as had been done every time before. Additionally, this year’s contest will grant a special award for first-time participants. The contest is with the objective to se...
SEC and the AOP are accepting application for the 7th PVD Contest 2018 with the royal plaque award from Her Royal Highness Princess Maha Chakri Sirindhorn. The objective of the contest is to select the provident fund with good management, which will be qualified by various factors, including good governance in investment, the standard of control and management of investment, the roles of the investment management companies towards to promotion of knowledge to their members, and the devel...