instrument and mutual fund. In addition, starting from July 1, 2012, the SEC will require person with duty to solicit and give advice on securities or derivatives to institutional investor be approved by the

six-year period starting from 25 October 2025 during which her applications for approval to be a capital market auditor will not be considered. Note:* Failure to comply with auditing standards

its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on

, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or

year;             (3) To adjust security measures to be commensurate with the risks of small business operators by, for example, reducing the penetration testing frequency, increasing access control

enhance the quality standards of the applicants for SET and mai listing. For example, the regulations related to material transactions (MT) and related party transactions (RPT) to lay out the

. For example, an offering at the market price does not require the approval of the shareholders’ meeting while an offering at a lower-than-market price requires the approval of the shareholders’ meeting

example, shares, debt securities, mutual funds and derivatives, and can use the single form or the information provided therein to open new investment accounts with other service providers.”   The

companies of relevant guidelines to be implemented in the same direction. For example, guidelines for mitigating the risks of COVID-19 spread when AGM is held and guidelines for supporting proxy voting. In

as follows:             (1)  waiver of the annual fee for small-sized listed companies and issuers of any securities other than shares, for example, debentures, derivatives warrants and real estate