List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง
the SEA?s Section 241, securities trading of the former GPF head in advance of the fund by using information about the fund?s pending orders (front running) is a breach of professional ethics for taking
;">ที่ กลต.กธ. (ว) 21/2555 เรื่อง การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง Head of compliance ตามที่สำนักงานได้นำส่งประกาศคณะกรรมการกำกับตลาดทุน ที่ ทธ. 39/2555 เรื่อง การจัดการให้มีหน่วย
Earlier, the Audit Committee of CMO had informed the SEC of the issues raised by the auditor from the audit of the company’s financial statements as follows: an irregular withdrawal of advance
. Industries Plc. (DTCI). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of DTCI shares from March 1, 2006 to April 4, 2006, the SEC probed into the case and found that such
such manipulation, in the total amount of 2,166,666.66 baht.Details are as follows: (1) ASCON price manipulation: following the Stock Exchange of Thailand (SET)?s report on irregular trading of ASCON
Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade
financial statements for Q2, Q3 and 2004. Consequently, PICNI’s financial statements in 2004 showed irregular profits of 178,440,072 baht, which was mainly contributed by the gas tank rental fees. (2) For
statements for Q2, Q3 and 2004. Consequently, PICNI’s financial statements in 2004 showed irregular profits of 178,440,072 baht, which was mainly contributed by the gas tank rental fees. (2) For making false