-compliance, the Minister, upon the recommendation of the SEC, may consider revoking its licence. In this regard, the Minister, upon the recommendation of the SEC, may order the digital asset business operator

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...

เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล           ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง

Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1

principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance