matters. STHAI was required to file with the SEC and publicly disclose the rectified and audited financial statements by June 26, 2014.STHAI later made a request for extension to submission deadline of its
. Clause 18 At the time the derivatives broker agrees to provide the service to the client, the derivatives broker shall put in place a written agreement which provides that upon the client’s request for
in place a written agreement which provides that upon the client’s request for settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such
in place a written agreement which provides that upon the client’s request for settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to
specified period, the CIS operator may request a waiver of such reporting according to the procedures and methods specified in the Licensing Manual for the Public. In any case, the CIS operator shall submit
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and