The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
maintain their status as a capital market auditor without immediate termination, provided that steps are taken by the auditor to make rectification to obtain the prescribed qualifications within the given
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to
, called Five Steps toward Investment Confidence” project that is the answer to all issues concerning long-term financial stability.The SET in the City 2018 event runs from November 15-18. The SEC “Check
a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open
management companies must provide explanation concerning the funds for investors? understanding and must also take necessary steps to ensure that investors learn of associated risks prior to making investment
Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
Office shall conduct due diligence of the facts in accordance with the steps and procedures specified in the Licensing Manual for the Public, and shall inform the applicant of any observation from the due