Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
Bangkok, 13 June 2018 ? The SEC has announced that the other six offenders in the share manipulation case against Asset Bright Public Company Limited (ABC) have consented to the civil sanction
Earlier, the Capital Market Supervisory Board passed a resolution approving the amended regulations for newly issued share offering of listed companies through private placement. Essentially, the
(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
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the
บริษัท หลักทรัพย์จัดการกองทุนไทยพาณิชย์ จำกัด|กองทุนรวมเพื่อการออม | วันที่เสนอขาย : 08/12/2563 - 22/12/2563
ABERDEEN ASSET MANAGEMENT (THAILAND) LIMITED|Feeder Fund ,Super Savings Fund : SSF | Offering Date : 06/06/2023 - 16/06/2023