begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less

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

implement these measures in a timely and practical manner. A working group was also established to further discuss details of the initial measures.

appropriate and fair investor protection. She also mentioned utilization of innovations in data analytics and models to implement various regulatory measures, such as the Uptick Rule, Dynamic Price Bands, and

to cooperate with UNDP in driving towards Sustainable Development Goals within 2030, and to implement the National Action Plan on Business and Human Rights (NAP) the first phase 2019 – 2022. The NAP

follows: (1)      Implement a policy on fintech application at board or executives level ; (2)      Have persons understand the basic principles of technology usage;(3)      Allow fund managers or

Bangkok, September 18, 2013 ? The SEC, Department of Business Development, Ministry of Commerce and 10 public and private sectors signed a memorandum of understanding (MOU) to implement the project

will coordinate with related organizations to add e-Tax Invoice as a criteria in corporate governance assessment where listed companies that implement the system may be entitled to additional points

digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in

is approved to execute both types of transactions, the maximum limit shall be the total limit; (2) have the client make an agreement in writing for borrowing of money for purchasing securities or