companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors

raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data

.   The public should be aware that Tradenance Incorporation Limited is not on the SEC approved list or under the SEC supervision.Recently, there have been solicitors for investment in high-risk products

As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision

In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business

notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example:  - The operation system shall have in place a client

example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to

for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

comply with rule preventing any person or group of persons from holding more than 1/3 of total investment units sold which has already been applicable to other types of mutual funds. In case where any

statements. By June 1, 2012, the company must submit to the SEC and publicly disclose the rectified financial statements that have been audited by the auditor.SINGHA later requested the SEC to extend such