securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
of exploring and gathering documents and evidence as well as more information from overseas authorities for valuation of overseas investment. The SEC therefore allowed VTE to submit the audited
understanding about rights and duties of DR holders and issuers as well as applicable fees.
operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
granted as well as signing cheques which were handed to four borrowers. Her abovementioned failure was considered a contravention of Sections 89/7 and 89/24 of the Securities and Exchange Commission Act B.E