an offense liable to revocation of approval as securities investment consultant. However, the approval as securities investment consultant for {A} has already expired since 31 December 2019. SEC has
Asia, agreed by consensus in 2003. The White Paper was an ambi- tious undertaking for a region as diverse as Asia. The 2003 White Paper on Corporate Governance in Asia was the basis of this Report. Since
a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for
operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2. An applicant for the registration as a derivatives
, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
. In a move to restore capital market confidence, the cabinet approved an additional tax privilege for people who purchase investment units in Super Savings Fund (SSF) which invests not less than 65
announced a measure for temporary liquidity management by allowing asset management companies to borrow or enter into repurchase agreements at the maximum rate of 30 percent, instead of the usual 10 percent