e-service Online Submission See canceled document Derivatives Agent >> Reporting Requirements Type Title Section See Document Status Notified Date Effective Date 1. Circular SEC. Nor Por. (Wor
deemed a breach of duties and professional codes of conduct. Earlier, the SEC disseminated a circular urging investor contacts, branch managers and securities company management to ban unregulated
Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers
/ActandRoyalEnactment/Act/explan-digital.docx HouseStyle Decree are that the law is enacted to ensure the effectiveness of the supervision and monitoring of the activities and businesses relating to digital assets and
reporting such incidents to the SEC; (4) To adjust the applicable scope for investment advisory business operators to ensure that they will be able to implement sufficient controls for managing
assets to ensure its appropriateness. EE is also required to rectify the financial statements for the year 2023 and the third quarter of 2024 and then submit the rectified financial statements that
, embraces transition to change, creates awareness, supports and facilitates, and fosters engagement to ensure a smooth, effective and sustainable transition.“Most importantly, the SEC’s hands-on approach to
-related clarifications and information through the company’s communication channels. On 10 October 2023, the SEC had the clients’ assets deposited with Zipmex inspected to ensure the company’s readiness for
shall impose stricter sanctions to further ensure fairness and market reliability.