. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines
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according to the terms and conditions. In this regard, the SEC has issued guidelines for the duties of the representative of the bondholders whereby the representative is required to analyze the
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
The Securities and Exchange Commission (SEC), led by Ms. Jomkwan Kongsakul and Mr. Anek Yooyuen, Deputy Secretaries-General, provided information to the press at the monthly media briefing in August
IOSCO members shared perspectives and operating guidelines on critical issues. These included sustainable finance in accordance with disclosure standards, consistent and comparable perspectives and
their own discretion in choosing RMF or LTF destination funds if the transfer criteria are clearly disclosed beforehand in the fund scheme for the unitholders? information; - Requiring asset management