Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies. The current rules require both the issuers as well as all affiliates that engage in the main bus...
แบบรับทราบความเสี่ยง (Structure Note)
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
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structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system