but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and
related entities The Principles and Guidelines on Corporate Governance for State Owned Enterprises 2019 (Thai Version Only) Qualifications and appropriateness of the professionals (The Office of
The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in
money market funds was 240 billion baht, or 3% of savings deposit. In the future the Deposit Protection Agency would reduce the maximum insured amount of bank deposit to only 1 million baht. Hence, money
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
Debt Securities – only the latest report will be shown. FOR Short-term Debt Securities, the following CONDITION will be applied: IF ISSUER IS NOT specified, duration can be selected only "ONE-MONTH
will be Where did the 4% rule come from Bengen, William P. 1994. “Determining Withdrawal Rates Using Historical Data.” Journal of Financial Planning, vol. 7: 171–180. 12 For illustrative purposes only