bond mutual funds The draft regulation prescribes that unrated bonds and high yield bond mutual funds can only be sold to (1) institutional investor, for instance, commercial bank, securities company
specifies that digital asset business operators establish measures for controlling and keeping clients’ digital assets securely or deposit clients’ digital assets with a third party custodian who is fully
markets. The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the
specifies the standard action whereby all parties suffering damage from wrongdoings of the same facts and legal issues become members of a class action automatically except for those who choose to opt out
prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with
ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
Securities and Exchange Act B.E. 2535 (1992) prescribes that an appointment of person to be director or manager of a securities company shall be made only with an approval from the SEC Office, the SEC Office
. * IFRS S1 General Requirement for Disclosure of Sustainability-related Financial Information specifies general requirements for disclosing sustainability-related financial information, including
auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines