SEC Thailand, as the host of the 30th ASEAN Capital Markets Forum (ACMF) on 18 March 2019, and other ASEAN regulators endorsed the Roadmap on ASEAN Sustainable Capital Markets to provide clear

without warning statements or warning practices are unclear. The SEC is therefore conducting this public hearing on a proposed amendment to the relevant regulations to establish a clear standard of warning

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a

efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the Thai capital

aspects are summarized as follows:(1) Enhancing clarity in PFS disclosure requirements by stipulating that disclosures must be clear, transparent, and not misleading regarding the nature, type, risks, or

Mr. James  Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint

Transition Plan for Investors" to raise awareness and enhance asset management companies’ skills considering the opportunities and risks of climate change. This involves creating a clear, comprehensive, and

clear-cut regulations to accommodate business operation and service provision in the form of partnership so that business operators will be able to run their business according to their expertise and take

change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1