. This repeal is proposed because funding portals operating under SEC supervision already serve as intermediaries between CFD issuers and investors, reporting significant events to the SEC. Additionally
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service
. Carrie Lam, Chief Executive of Hong Kong Special Administrative Region (SAR) of the People’s Republic of China, on 29 November 2019. This cooperation aims to promote competitiveness of local intermediaries
, products, mutual funds, listed companies, mergers, intermediaries business operators, auditors, financial advisors, various litigations, licensed and registered persons including mutual funds information
appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or
directors are as follows:1. Mr. Ekapon Sawaengsri, Director of the Market and Organizational Risk Department2. Mrs. Sittasri Nakasiri, Director of the Intermediaries Policy Department3. Mr. Pariya
? anti-corruption leadership as they might start from setting up preventive measures and make progress to obtain Collective Action Coalition (CAC) certifications by 2015. If all financial intermediaries
would improve the financial reporting forms used by such intermediaries to meet the following objectives: ?1.? To comply with the revised financial reporting standards of the Federation of Accounting
well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives