ธุรกิจ ซึ่งต้องครอบคลุมระบบงานสำคัญ เช่น ระบบรับคำสั่งซื้อขาย ระบบการควบคุมความเสี่ยงเพื่อให้สามารถดำรงเงินกองทุนสภาพคล่องสุทธิ (Net Capital Rules) ระบบการจัดการลงทุน เป็นต้น รวมถึงช่องทางการสื่อสารเพื่อ

that should be suitable for each type of investors. She also mentioned the public hearing process that the SEC is undertaking to enhance regulatory rules and supervision of bond market to protect

. Discussions also covered guidelines on improving rules and regulations and enhancing operation to reduce costs and facilitate business operations for stakeholders in the capital market to enable them to

with regard to the approval of invoice issuance, expenses, payments, selection of service providers, and compliance with local rules and regulations. The SEC has therefore instructed CHUO to cooperate

incur loss depending on its potential risks.   _______________________   Notes:  Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital

investors can better understand the fund features and investment risks. Meanwhile, rules on selling practice of investment consultants have been revised accordingly.The consultation paper can be found at

solicitation of this ICO because it may not be in compliance with the governing rules, for example, screening of qualifications, review of smart contracts by the SEC-approved ICO Portal, and disclosure of

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

creating too much burden for stakeholders   Major issues are as follows:- To apply  rules regarding  preparation and disclosure of financial statements, currently applying only on the lastest annual and

to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation