(2018-2037). In this regard, the SEC has revised the SMEs share offering rules to provide SMEs with wider choices of fundraising channels, including share offering to the issuer’s group of companies

products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses.  In addition

in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well

Bangkok, June 5, 2014 ? The SEC is seeking public comment on revision of rules governing mutual fund prospectus to provide more useful information for investment decision making.  Management

draft rules permit business operators to provide services under their licenses and the foreign investment quota granted by the Bank of Thailand. In this regard, permissible investment products denominated

business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee

information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113

website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed