financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be
, Facebook, Line and YouTube. The public should be aware that none of the three digital assets or ICOs have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to
. The public should be aware that Tradenance Incorporation Limited is not on the SEC approved list or under the SEC supervision.Recently, there have been solicitors for investment in high-risk products
it ever filed an application for an initial coin offering (ICO) with the SEC.The interested public should be aware of possible risks involved in digital asset investment and contact a licensed digital
business operators and organizations related to the capital markets to be aware of the importance of compliance with the Personal Data Protection Act. SEC’s suggestions in four main issues will help the