engaged in cosign* custody arrangements;(d) Adjustment to the early warning level for business operators;(e) Revision of the net capital reporting forms and submission, aligning with the updated regulations
; (3) An issuance and offering of high-risk debt securities must clearly include the term, "High-Risk Bond" in the name of the securities. Additionally, a warning statement must be provided to investors
information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
Assets (from Q1/2017 onwards) Quarter 2/2023 6 Investment of Provident Funds Classified by Type of Assets (2016) - 7 Provident funds with employee?s choice policy 2022 Last updated on 20 September
https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201811/18103331.pdf E_1 Legal_FA_2015_12_29-c Platform of Choice” in order to maintain existing clients with good track records while also
The Passport is intended to provide significant benefits to investors through more fund choice, while maintaining effective legal and regulatory arrangement for investor protection. It is also
encourage more listed companies to seek cross-listings in the region to broaden their investor base. With more cross-listings, investors in the region will have easier access to a broader choice of
combined GDP in excess of USD2.4 trillion.? he added. Mr. Lee Boon Ngiap, Assistant Managing Director (Capital Markets), MAS, said ?Retail investors in ASEAN will benefit from an increase in the choice of