. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the Shareholders
Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 10 October 2014;(7) Notification of Guidelines No
of the Statement of Intention : 18/03/2019 http://capital.sec.or.th/webapp/corp_fin2/cgi-bin/resultTOc.php?language=E&comp_id=0717 SEC public hearing on proposed rules for promoting facilitators in
-debt securities, and guidelines for business operation of brokers by repealing redundant regulations to facilitate implementation; (6) Revising approval of rules and regulations of clearing houses
Businesses and in alignment with the specific characteristics and risks associated with different types of digital assets* while adhering to international guidelines and the practices of foreign
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
registration statement (Form 56-1) since it is vital to investors? investment decisions. With its plan to study and consult with related parties, the SEC recently organized a seminar to determine MD&A guidelines