emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
on insider trading and market manipulation offenders under Sections 241 and 243 of the Securities and Exchange Act B.E. 2535 (1992). The bounty and gratuity will be paid in the amount up to 30% of the
Securities and Exchange Commission No. Sor Thor. 29/2559 Re: Rules in Detail on Financial Resource and Risk Management of Securities Clearing Houses ________________________ By virtue of Clause 5 (1), in
shall establish rules or regulations which allow for exchange of information about securities clearing and settlement, including any other information obtained during the normal course of operation as a
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
will be developed to support the whole process of trading products in the capital market from the issuance, offering, trade to clearing and settlement of securities as well as enhance the efficiency of
, Section 133 and Section 136 of the Securities and Exchange Act B.E. 2535 (1992). On 13 March 2020, the Settlement Committee imposed a fine of 8.06 million baht on the company. In the case of Mr. King, he
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9