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...

เวิลด์ เมื่อวันที่ 4 พฤศจิกายน 2565เลขาธิการ ก.ล.ต. ยังได้ร่วมอภิปรายในหัวข้อ “From insights to action: lever of transformative change towards gender-inclusive recovery” โดยกล่าวถึงบทบาทของ ก.ล.ต. ในการขับ

“From insights to action: lever of transformative change towards gender-inclusive recovery” พร้อมทั้งรับมอบโล่ WEPs Exemplary Ally Recognition 3)  ร่วมกับ UN Wome n และมูลนิธิคีนันแห่งเอเชีย จัดงาน

monetary penalty of 300,000.00 Baht     - a bar from serving as a director or executive in a securities issuing company between 08/07/2022 and 07/11/2022   

penalty of 50,000.00 Baht     - a bar from serving as a director or executive in a securities issuing company between 27/02/2023 and 26/06/2023     

50,000.00 Baht     - a bar from serving as a director or executive in a securities issuing company between 27/02/2023 and 26/06/2023     - a bar from

50,000.00 Baht     - a bar from serving as a director or executive in a securities issuing company between 27/02/2023 and 26/06/2023     - a bar from

;- a bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/07/2025     - a bar from serving as a director or executive in a

penalty of 500,000.00 Baht     - a bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/03/2025     

bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/07/2025     - a bar from serving as a director or executive in a