characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In

example, some respondents proposed that a red list of activities be created, and the scope of Thailand Taxonomy be expanded to cover other economic activities (i.e., manufacturing and agriculture) in the

of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and

of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was

regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of

in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the

2023 to introduce and clarify the scope and expectations of the Guidelines. On 30th January 2023, the SEC in collaboration with the UK Government and CDP will host a webinar on the topic, “Improved

conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once

loss due to price volatility, cybersecurity risk, risk on personal data leakage, and exploitation as a money laundering tool.  The SEC Board has therefore considered exercising authority within the scope

, officer or employee of that exchange or center;            (6)  extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper