complete the review process at the same time, within three to four months from the date of submission. This will enhance market efficiency as the time taken for the issuer to obtain approval to offer its
for a number of asset management firms, we can provide information on return comparison and investment advice suitable for investors? profiles. Securities companies also serve investors with need to
reporting such incidents to the SEC; (4) To adjust the applicable scope for investment advisory business operators to ensure that they will be able to implement sufficient controls for managing
Thailand , in effect from 1 November 2018.SEC Deputy Secretary-General Prakid Punyashthiti said: “the regulatory revision of the information disclosure in the filing form will enable investors to access
the accurate preparation of financial statements. This will facilitate the executives of listed companies in applying financial information for business decision-making in a prompt and accurate
regulatory frameworks on disclosure of interim financial information to ensure that such information will best benefit investors in terms of information adequacy, accuracy and timely availability. The
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
related persons. Monitoring acitivities of invested companies is also a must as sometimes regulators are not legally authorized to issue an order in certain matters.Disclosure of sufficient information is
access to investment-related information. To fulfill this mission, the SEC developed the "Mutual Funds Insight" microsite to serve as a center of knowledge, services, and tools related to mutual fund