Which Are Not Deemed an Undertaking of Derivatives Busin
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
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on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
Currently, the SEC regulates three types of bills, namely: 1) bills that are considered as securities, 2) bills that are considered as securities but under the exemption of regulations regarding
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restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If
Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely