services not exceeding the period specified by law.To accommodate the business undertakings while ensuring that investors obtain appropriate investment advice and information in a timely and efficient manner
reviewed to be more consistent with the current market landscape. This will benefit further development of international cooperation to be more comprehensive and efficient.
regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the
the economic sector. Thus, FETCO will be able to bring more efficient cooperation with both public and private sectors. Under the proposed law, the structure of the Capital Market Federation of
can be summarized as follows: Strategy One: To embrace financial technology (FinTech) as a tool for adding value and creating more efficient market and accessibility for all stakeholders. This priority
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules
scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory
หลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer and Underwriter: LBDU) และ ก.ล.ต. ตรวจสอบเพิ่มเติมพบว่า นายพงษ์ศักดิ์ได้ลงนามในใบคำสั่งซื้อ ขาย สับเปลี่ยนหน่วยลงทุนในฐานะผู้แนะนำการลงทุน ทั้งที่ไม่