application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
become effective since 15 December 2022. Pursuant to ISQM 1 and ISQM 2, audit firms are required to have a quality management system which gives more oversight responsibilities to executive auditors, while
SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
conversion price. The said instruments will be permissible for investment of mutual funds, except money market funds, under certain investment limit. The relevant regulations are expected to become effective
for 2 months. Taking into account that {A} had already been suspended by her employer for one month; the suspension imposed by the SEC shall remain for additional one month, effective from September 15
: ?The SEC has been the key supporter of the Classs Action Law from the very beginning because it could be an effective channel for protecting investor?s rights in the capital market. Since the law came
Bangkok, June 27, 2012 ? The SEC allows offer for sale of ASEAN Collective Investment Scheme (ASEAN CIS) to accredited investors (AI). The regulations are expected to be effective within July, 2012
, effective on 2 December 2016. He has invalidated his existing positions as director or executive of listed company (if any), and prohibited his future holding of such positions until such period ends
support industry business operation, remove obstacles and clarify certain governing regulations. The revisions to become effective in September include:1. Licensed derivatives dealer will be allowed to
, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC