information on related party transaction in the registration statement and thus mislead investors. Besides, they did not advise the applicant in order to comply with relevant rules and regulations, particularly

Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits

. ?Technology has become a powerful tool supporting Thai capital market development, particularly for promotion of financial literacy to the general public. Easy access to financial information will help enhance

specified by the Capital Market Supervisory Board (CMSB), which includes the investment policy, the seeking of benefits, and the types of investors. Furthermore, GIT does not seek benefits specifically from

Currently, the IPO regulations specify that an IPO applicant shall not get involved in any illegal business without specifically defining the term. Thus, the term can be broadly interpreted and may

betterment of our society” Mary Leung, CFA, Head, Advocacy, Asia Pacific, CFA Institute, said, “Within the wide-ranging discussions about ESG issues, CFA Institute is specifically focused on the quality and

since the month of May this year. Specifically, the SEC proactively initiated for the first time a conference call with the World Bank assessor in Washington D.C., USA and integrated working

one of SEC’s missions to help SMEs and Startups to easily access funding sources in capital market. Specifically, the SMEs’ and Startups’ fundraisings need to be economical, suit the business needs

provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the

customers, certain details of these rules are not in line with the Framework of ACMF. SEC therefore proposes to prescribe additional rules specifically applicable to the professionals from ASEAN countries