examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF
securitisation market for solar assets through gradual investor education on asset performance and familiarity. Table 1 provides an overview of these potential bond-types, issuers, and revenue streams of bonds
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty
institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC
addition, the “Vibhavadi Zero Waste” campaign plays a vital role in initiating concrete activities of the Thailand Responsible Business Network (TRBN) jointly established and launched on 2 December 2019 by
: (1) Eligible investors are institutional investors and/or high net worth investors only; (2) Eligible investment vehicles are mutual fund or trust fund (to be established by the end of 2021); (3
baht bonds to (i) obtain an issue rating not lower than investment grade* from an international credit rating agency established under foreign law, (ii) appoint the bondholder representative, and (iii