opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
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
with the connections between non-financial and financial performance. In addition, disclosure of complete information in a timely manner will be of benefit to companies in terms of value adding
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once
qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit to the SEC and publicly disclose the rectified and audited/reviewed financial statements urgently. The