intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take a necessary action; ● Any complaint whose main issue is under supervision of any
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the
SEC and the Securities and Futures Commission (SFC) are developing a bilateral agreement for cross-border fund offerings under the HK-TH MRF project with the main objective of facilitating mutual
two previous years. Participants will be incubated with advice in technology and fintech startups from teams of successful and experienced experts, while being educated the related supervision. This
. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1
37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1