securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
counterpart (cross-border product).” The SET has developed a new trading platform to support DR trading with the underlying in the Asia and Americas time zone. The platform can also support the sending of
basis. The report must contain every securities trading order including non-matched order together with details on sending time, canceling time, number of shares and share prices. Moreover, the statement
bondholder register to determine the list of the meeting attendees and the timeframe for sending the invitation to the bondholders’ meeting; Agenda 2: Consideration for approving a waiver of
because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
unitholders attending the meetings or sending the vote letter if it is a resolution on general matters such as changing the fund type from a closed-end fund to an open-end fund or merging funds to reduce
150 days as well, or (2) sending a letter requesting PVD members’ certification of the financial statements and the auditor’s reports on the condition that the certified documents are submitted to SEC
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
other laws outside the SEC’s jurisdiction, the SEC will coordinate with relevant authorities to take an appropriate action.The SEC urges the public and investors to exercise caution when using services of