specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
capital requirements are also stipulated in the proposed amendments.SEC is now seeking public comments on the revised draft notification on the maintenance of capital which has been refined in certain
that the investment in a term fund is risk free. The proposed amendments would also require the presentation of a risk spectrum that reflects levels of risk in proportion to investment concentration in
Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
and related persons must submit hardcopy documents and also online documents through electronic system, which might cause burden on the private sector and it does not go accordingly with the
order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty. In any case, more severe
first three quarters of 2016. The company must also submit to the SEC and publicly disclose the financial statements which have been rectified and audited by the auditor promptly. Earlier, CHUO's auditor
statements, if applicable, to the SEC and publicly disclosing such information through the SET Electronic Information System within 31 January 2018. The SEC has also urged PACE to expedite the proceeding to