majority investors were retail investors, accounting for approximately 81 percent, and HNW accounting for approximately 6 percent.  SEC is therefore proposing principles for amending the rules on

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

Earlier, the SEC issued regulations on establishment and management of high-yield bond funds, which have been effective since 1 August 2021. The regulations aim to provide bridge financing for high

Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty

SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of

According to the first paragraph of Section 23 of Provident Fund Act, when an employee’s membership terminates on a cause other than the dissolution of the fund, the fund manager shall make

. On 23 May 2023, the Capital Market Supervisory Board Meeting No. 5/2566 passed a resolution approving in principle the proposed amendments to the governing regulations. The key principles and the

On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives