The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
the drafting of all related notifications of the SEC and notifications of the Office.On February 21, 1997, the Minister of Finance affixed his signature on two notifications of the SEC on Criteria
Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand
offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in
ที่ประชุมได้หารือในประเด็นที่มีความสำคัญและมีความท้าทาย อาทิ การกำกับดูแลพฤติกรรมที่เป็นภัยต่อผู้ลงทุนแต่ยังไม่ถึงระดับที่ผิดกฎหมาย (harmful, but legal conduct) โดยในเรื่องนี้เลขาธิการ ก.ล.ต. ได้ร่วม
14 October 2009. Chalerm?s manipulative arrangements were systematically planned and intended to conceal the facts from the clients, which was harmful to multiple clients and caused them great damages
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
products that are better aligned with investors’ risk profiles and investment needs.Accordingly, the SEC has issued notifications* to amend the relevant criteria, with the key details as follows: 1