regard, the SEC advises investors currently using these platforms to take steps to secure their assets before the access restriction takes effect. The SEC advises the public and investors to be cautious
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
transactions due to differences in securities clearing houses; (2) practical steps and procedures for dealing with the case of default in securities clearing or settlement which is enforceable on other
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
operating systems that support all five steps of the complete wealth advice process, namely (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implement the portfolio
after year, audit firms should continue to improve their auditing techniques along with policies and methods, and also take steps to develop a root cause analysis to have better understanding on factors
on listed companies’ disclosure of material information, issuing investor warning messages, and/or posting trading signs to alert investors. For next steps, the SET is in the process of revising the
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the