investment consultant and set the period for acceptance of her re-application for approval as capital market personnel for 5 years. In this case, the period for acceptance of her re-application for approval as
consultant and set the period for acceptance of her re-application for approval as capital market personnel for 5 years. In this case, the period for acceptance of her re-application for approval as capital
SEC therefore revoked the approval of {A} as capital market investment consultant and set the period for acceptance of his re-application for approval as capital market personnel for 2 years and 11
collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
the CIS Operator, Trustee/Fund Supervisor, and Requirements relating to Approval, Valuation, and Operational Matters of Appendix C: Standards of Qualifying CIS of the Memorandum of Understanding on
in ASEAN countries which are signatories to the Memorandum of Understanding ("MoU") to establish cross-border offering framework. Malaysia, Singapore and Thailand are expected to sign the MoU by the
understanding about rights and duties of DR holders and issuers as well as applicable fees.
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties
The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to
allow the private sector clear and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For