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...
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above were liable to be offenses related to insider trading that caused the rise of the CHG share price. The inside information that Dr. Kumpol became aware of or possessed was CHG’s operating results for the third quarter of 2019, which recorded a significant increase in net earnings due to the income...
consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Ltd. and Global Investments International Ltd. via www.globalinvestments.net and
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
Investors 30,722.08 Individuals 8,519.57 Juristic Persons 30,938.83 2.Foreign Investors Foreign Investors 50.00 Institutions 50.00 High Net Worth Investors 00.00 Individuals 00.00 Juristic Persons 00.00 2
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
program. The primary objective is to empower trainers with comprehensive knowledge, addressing the specific financial challenges of three target groups: (1) individuals with debts, (2) individuals
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through