allocation along with the service matching investment objective of each investor. Additionally, the SEC has recently raised the bar by requiring that the said advice and service must be provided by an approved

public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

. Under the proposed criteria, a listed company may apply for an extension of the disposal period for its repurchased shares for a further period of up to two years, provided that all the conditions under

January 2022, 1000X, the service provider of the website https://www.1000x.live (1000x.live), had provided services or presented itself to the public that it was ready to provide the service with respect

information accurately and appropriately.” TikTok Thailand speakers also provided guidance on “How to create financial and investment content without violating policy,” covering platform communication

DRs within a specified period (one year) without limitation on the number of offerings or the offering value, provided that they continue to meet the prescribed qualifications (Shelf Approval). For

The SEC found that, during the period commencing on 14 May 2021, IBS Intensive provided services or held itself out to the public that it would invest funds in gold futures and digital assets. The

, expands market choices, and enhances the quality of services provided by market intermediaries. At the same time, the SEC remains committed to ensuring fair competition and appropriate investor

permitted to offer debt securities within two years from the date of such use of proceeds. However, the regulations amended under these notifications prescribe additional exemptions. Provided that the issuer