the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S.94 Settlement Committee Meeting No. 5
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
business.? The objectives of the rule-amendment are to promote flexibility and prevent conflict of interest. The proposal has undergone series of discussions with various stakeholders including securities
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders
obligations specified in the rule concerning acquisitions and disposals of material assets by listed companies. Please be informed accordingly, Yours sincerely, Finansa Public Company Limited (Mr. Vorasit
Bangkok, July 28, 2016 ? The SEC is seeking public comments on a proposed revision to the securities offering rule whereby offering of debt securities, infrastructure trust units and depository
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into