Re: Exemption from the Requirements to Submit Registration Statements for the Offer for Sale of Debt Securities
requirements and IT risk management system. In addition, the proposed amendments streamline licensing procedures in consistent with other securities businesses. The consultation paper is available in Thai
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)
Acting in concert as a result of the nature of a relationship or behaviour and requirements under Sections 246 and 247
rectification requirements. Consequently, the SEC Board resolved to propose the revocation of Zipmex’s digital asset exchange and broker licenses for the Minister of Finance’s consideration. The SEC Board also
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
draft prospectus with the SEC and the registration statement has become effective.3 If the Hong Kong Covered Management Company files the registration statement and draft prospectus together with the