investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
guidelines for offering and operating digital assets businesses, at the SEC Office on 23 February 2024.
meeting aimed to communicate the expectations, revised regulatory framework, and the operational guidelines for the compliance unit of ICO portals. Approximately 30 participants attended, including senior
shareholders via email and publicly disclosed via the SET Information System; (2) preventive guidelines: At the board of directors’ meeting and the shareholders’ meeting, listed
have shared and discussed relevant guidelines and preventive measures such as industry engagement and guidelines of good practices. The meeting further agreed that the APRC members should conduct a
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or