transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period.
Additional Provisions for Establishment and Management of Mutual Funds under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People?s Republic of China and
The meeting agreed to resume discussion to develop mutual recognition framework to facilitate cross-border mutual fund offerings. The discussion was initiated in 2004 before later being halted. To
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
Exchange-Traded Fund (Foreign ETF) Mutual Recognition of Funds between Hong Kong and Thailand (HK-TH MRF ) Establishment of Mutual Funds Cross-border Offering of Funds ASEAN Collective Investment
Company Corporate Governance Cross-border Offering of Funds ASEAN Collective Investment Schemes (ASEAN CIS) Mutual Recognition of Funds between Hong Kong and Thailand (HK-TH MRF) SHARE : For More
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record