assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
their equity securities outside the issuer’s home jurisdiction. With this strong collaboration, it is expected that a corporation from Cambodia would become the first foreign company listed on the
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had
Bangkok, May 28, 2015 ? The SEC revised regulations for more flexibility to promote cross-border offerings of debt securities and collective investment schemes (CIS). The revision aims to increase
Bangkok, January 20, 2014 ? The SEC is seeking public comment on draft rules on cross-border offering of ASEAN collective investment schemes (ASEAN CIS) to retail investors. When compiled with non
ACMF implements streamlined review framework for common prospectus.Kuala Lumpur, September 2, 2015, The ASEAN Capital Markets Forum (ACMF) announced today that the Securities Commission Malaysia (SC), the Monetary Authority of Singapore (MAS), the Securities and Exchange Commission (SEC), Thailand and the Singapore Exchange (SGX) have established the Streamlined Review Framework for the ASEAN Common Prospectus (the ?Framework"), pursuant to a Memorandum of Understanding (MoU) signed on 3 March 2...