) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for

must be filed with the DSI.    Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity

service in many forms which can be accessed via SEC website. The data can be downloaded through SEC API. Open data and the API allow for enhanced data access. In the past, the provision of such

characteristics of director and executive of a publicly held company. This caused the termination of their directorship and executive position by the provision of the SEA. In any case, the filing of a criminal

Bangkok, 18 October 2016 ? The SEC is seeking public comments on the proposed rules concerning provision of securities and derivatives trading services with limited discretion according to clients

SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more

trust auditors with an obligation to prepare and disclose the report on unitholding in REITs and infrastructure trusts in accordance with Section 59 which is the same provision governing the

exchange information about emerging trends and developments in the financial or capital markets and regulatory issues pertaining to new technologies and innovation in the provision of financial

Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1

instructed JAS to rectify those financial statements by recognizing the provision based on the best estimate of the expenditure required to settle the present obligation by taking into account factors such as