notification to be consistent with other notifications. This includes revision to the definitions of private equity and venture capital businesses to conform the definitions under the digital token offering
token distribution.SEC Deputy Secretary-General Tipsuda Thavaramara said : “the proposed revision is an attempt to find a balance to supervise and reduce obstacles in practices from the regulations
Bangkok, April 4, 2012 ? The SEC is seeking public comment on draft regulation governing unrated bonds and high yield bond mutual funds offered to non-retail investors. The revision aims to
enhance client asset protection in line with international standards. The revision would allow the companies to manage client assets by (1) depositing or investing in certificates of deposits (CDs) issued
Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
Business, an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders
. ๒๕๖๖ (นางพรอนงค์ บุษราตระกูล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการกำกับตลาดทุน SEC Classification : ใช้ภายใน (Internal) SEC Classification : ใช้ภายใน