การส่งข้อมูลแบบรายงานผ่านระบบ Broker Reporting System (BRS) และระบบ Net Capital Rule (NCR) ตามที่สำนักงานได้มีหนังสือเวียนที่ ธ. (ว) 85/2540 เรื่อง ขอความร่วมมือในการทดสอบระบบการ
supervision, initiate cooperation and address key challenges, which can lead to common practices at the regional level in the future. IOSCO APRC Meeting will discuss important and challenging issues such
=system_name%3AInvestor%20Alert&start=1880&rows=10 1881 - 1890 of 1,945 results Sort by: Relevance Date (Newest) Date (Oldest) ประกาศคณะกรรมการ ก.ล.ต. กลธ. 10/2562 Rule Book for Asset Management ค้นหากฎหมาย/ กฎ
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to
, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to