could not rectify the problem within the specified period, which is deemed non-compliance with Clause 9(3) of the SEC Notification No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives
prepare and submit financial statements or reports on financial position and operating results, and must have a record of annual fee payment within deadline. The relief measure will take effect from 23
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service
implement within six to 12 months following the signing of the MoU. Further details of the mutual recognition of funds scheme are set out in the SFC circular and the SEC circular issued today
supporters. The TCFD recommendations support more effective climate-related disclosures that enable investors and stakeholders to analyze and compare climate-related risk management of businesses within the
On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
. (Pace One) and Pace Project Three Co., Ltd. (Pace Three) and submit to the SEC as well as publicly disclose the information within 14 days.PACE's auditor issued a disclaimer of conclusion on the
of good corporate governance (CG). After listing, the supervisory mechanism will ensure that listed companies maintain their quality, operate business with integrity, have an internal control system