the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s

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percent of total ordinary shares sold (“Spring26”), and a company licensed to use the spectrum to provide digital terrestrial television services as a national business service type in a standard definition

___________________ Clause 3 To encourage derivatives clearing houses, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair

Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of

custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the

Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information

Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational

) business operator to verify the facts of the incident and report to the SEC without delay. Furthermore, the SEC has instructed the DA business operator to provide information and respond to the service users

(2018-2037). In this regard, the SEC has revised the SMEs share offering rules to provide SMEs with wider choices of fundraising channels, including share offering to the issuer’s group of companies