clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that
notifications has taken suggestion from all parties, including listed companies, potential issuers, and investors, into consideration intended to provide clear and sufficient information for investors without
and advice that is relevant to investors. It also contains new principles with respect to cross border listings and the importance of fair and effective price discovery in stock markets. IV) The role of
As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help
Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the Memorandum of Understanding on Streamlined Authorisation Framework for Cross-border Public
Securities and Exchange Regulator of Cambodia (SERC) และร่วมหารือแนวทางการส่งเสริมความร่วมมือหน่วยงานกำกับดูแลตลาดทุนระหว่างไทยและราชอาณาจักรกัมพูชา ในประเด็นการพัฒนาผลิตภัณฑ์ในตลาดทุนข้ามกัน (cross-border
-border investments, competitiveness of the Thai capital market. 3.3 Changes in social structures, including an aging society, economic and social inequality, degradation of resources, and focus on
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior
financial institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and