., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
statements of AI for the same reason.Later, AIE requested for an extension of deadline to submit the rectified 2014 financial statements, previously set to be submitted by May 27, 2015. The company reasoned
the Framework, the application procedures and the review timeline. The handbook can be accessed here. The ACMF was set up in 2004 to promote freer flow of capital and greater connectivity of ASEAN
, SEC Senior Assistant Secretary ? General, said: ?After a thorough analysis of the current financial reporting ecosystem and discussions with relevant parties including the SET and the Federation of
specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the
sentiment driving the SET index and trading values to soar. The securities companies will be required to strictly and cautiously exercise their KYC/CDD and review of client credit line practices, especially
top 50 SET-listed shares and top 5 mai- listed shares will be removed, respectively. Furthermore, listing of any shares on the Turnover List will result in listing of warrants on those shares, as well
market auditor and determine a six-year period during which her applications for such approval will not be accepted. Since her previous approval had already expired on 4 August 2025, the SEC has set a
stocks and mutual funds to digital assets like cryptocurrency – as well as impersonations of various organizations including the SEC, the SET and listed companies, etc. We have also found solicitations