of big data analysis.Experts in financial technology (FinTech) business will share their views and experiences in transforming large and complex raw data into logical, useful information on investors
varieties of assets according to suitable risk profile. For example, funds offered to retail investors are now allowed, on the condition that pre-specified ratios apply, to invest in non-listed infrastructure
registration statement (Form 56-1) since it is vital to investors? investment decisions. With its plan to study and consult with related parties, the SEC recently organized a seminar to determine MD&A guidelines
diversification and the increasing cross-border offering of debt securities among ASEAN markets. More and easier access to voluntary rating information will be useful for Thai and foreign investors alike
investors to invest in futures contracts or investment units and told them to transfer their money into her own bank account. The SEC findings showed that Hathaya had never used such money to invest in
for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The company has managed to have marketing officers to call and solicit investors to invest and sent out the
plans for each measure, as follows: Quality Demand: (1) Cultivate long-term investment culture through individual investment accounts to enable investors to convert their savings into long-term
failure to prepare and submit the result of the bonds sale report for institutional investors (II) within the period specified in the notification of the SEC resulted from the instruction or the failure to
but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed