financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly

. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees

. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees

required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its

According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF

Bangkok, May 10, 2011 ? The SEC is inviting the investing public to visit SEC Investment Mart at Money Expo 2011 which will run from May 12 to 15. SEC highlights include the latest investment trends

to investors the information on such investment. Asset management companies must, additionally, comply with rules governing derivatives investment which include rules on counterparty limit, reserved

provident funds in response to market development while widening investment asset varieties and in line with international standards. Key proposed changes include introduction of more principle-based eligible