Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
Currently, the existing regulations require that the foreign issuer of baht bonds comply with the approval and disclosure rules in the same manner as other types of bonds. Additionally, to issue and
are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to
offered to retail investors in other home jurisdictions of ASEAN members. Also, the scheme must conform to the common standards on Standards of Qualifying CIS in terms of the qualifications of CIS operator
operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________
notification to be consistent with other notifications. This includes revision to the definitions of private equity and venture capital businesses to conform the definitions under the digital token offering
holders. Disclosure of source code, information disclosure forms, drafted prospectus and financial statements are also required to conform with SEC regulations. Each ICO can be placed to ultra-high net
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should