category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
, securities underwriting, but shall not include a financial institution under other law and later obtain a license to undertake securities business; “Full-service Branch Office” means a securities company’s
frequently argue that resolutions—particularly ones addressing social and environmental issues—relate to the “ordinary business” of the company. The idea is to respect the proper boundary between issues best
for business operating and obtain an approval from the Office in accordance with rules, conditions, and procedures prescribed by the SEC in the Notification No. KorNor. 23/2544. No. List of Company
potential risks that could arise from the securities clearing and settlement system when the risk value exceeds the specified limit of the securities clearing house. In addition, if the price of securities is
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
securities company approves to lend money for purchasing securities or lend securities for making a short sale to any person, it shall proceed as follows: (1) determine a maximum limit at which a client may be
retail fund offered under the Framework for Cross-Border Public Offerings of ASEAN Collective Investment Schemes, the time period shall not be longer than the period specified in Part I: Qualifications of
การเปิดให้สามารถนำกองทุนไปเสนอขายข้ามประเทศ (cross border) มากขึ้น สำนักงานจึงได้ดำเนินการ ปรับปรุงหลักเกณฑ์ที่เกี่ยวข้องกับการลงทุนของ MF PF และ PVD เพื่อยกระดับหลักเกณฑ์ที่เกี่ยวข้องกับ การลงทุนของกอง