daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment
, mutual funds and financial instruments. SEC has publicized open APIs disclosing mutual fund information and adopted the machine-readable reporting method for the benefit of business operators in developing
supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via
nationality ID card or passport, location, etc. Fee, transfer method, documents related to bank account opening ● Documents/evidence on an investment, for instance: Transfer documents such as a pay-in slip
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
to enhance investor protection mechanism to holders of digital tokens or real estate -backed initial coin offering (ICO). Meanwhile, the regulations have not yet extended to such fund raising method