entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
Ms. Ruenvadee Suwanmongkol, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) joined the conversation on the topic, “Writing the Rules of Crypto” at the 6th Future
for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before
consent of the client or the provident fund committee, whichever the case may be, in writing before entering into every such transaction, except in the following cases whereby the management company may
estate development business, whether in the form of a company, trust, or any other form; “net exposure” means the net investment value, whether from direct or indirect investment in a financial instrument
the trust instrument; “registration statement” means the registration statement of an offer for sale of securities in the category of unit; “financial advisor” means a financial adviser whose name
> Fundraising > Equity Instrument > Share > Public Offering (PO) Regulations SHARE : Detail Content Equity Instruments Shares Public Offering (PO) Importance is given to good corporate governance as