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
against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back
Bangkok, January 22, 2014 ? Following the acquisition of control over Electronics Industry Public Company Limited (EIC) by Bee Taechaubol and Thai Prime Co.Ltd., where the tender offer for all EIC shares has been launched at 1.25 baht per share, Bee has been found purchasing 1,017,500 EIC shares through the Stock Exchange of Thailand (SET) at 3.50 baht a share. The tender offer will be closed on January 27, 2014.As the purchase price is higher than the tender offer price, it caused unfair tre...
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง