SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
and found noise trading risks in trading of securities on the SET. The finding suggested that non-fundamental factors highly influenced the SET Index; trading volumes, for instance. Whilst, the market
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
demonstrates that traditional regression analysis produces inconsistent relationships between CSR and firm value depending on which CSR proxy enters the regression. By contrast, SEM provides decisive evidence in
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Suppiroj, Director of SEC’s FinTech Department acted as the moderator.Based on the panel discussion, there are the following issues. “Libra” is regarded as a challenge to the world and may become a key
investors. “Investment participation” 1 refers to instruments representing rights, divided into units, each with highly standardized terms and conditions, where such instruments are issued for raising funds