their comments on key issues at the 2010 Asian Roundtable annual meeting in Shanghai, China and to provide written comments afterwards. A sec- ond draft of this Report was circulated for further comments
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
SHARE : SEC public hearing on draft amendment to approval for paperless filing of mutual funds Friday 8 November 2019 | No. 161 / 2019 Bangkok, 8 November 2019 – The SEC is seeking public comments on a
as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription, issuance and settlement of securities, and organization of
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities