Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
legal enforcement can be arranged. Replacement mechanisms must be clearly disclosed in the filing and drafted prospectus. The regulations will go into effect from 1 May 2020 onward
having successful crowdfunding campaign. Furthermore, a pitch perfect session will also be arranged for entrepreneurs to meet and present their ideas with investors.
continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund
JC welcomed the Industry Day event arranged by the Australian Securities and Investment Commission that is to be held on 27 April in Sydney. Over 90 stakeholders are expected from around the Region
transferred the clients’ money to the savings accounts opened under the names of other persons instead. She arranged for investment unit purchase transactions of other clients, with the value equivalent to
, Thai Baht, US dollars (USD). 3. Credit rating: Specify whether or not a credit rating is arranged for the structured notes and/or the issuer of structured notes and/or guarantor/aval giver. If yes
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office