securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
, giving investment advice, and operating an exchange or trading platform) will be required to seek a license, registration, or exemption from the SEC. 9 III. Other issues 3.1 When ICO portal also invests in
capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC establishment, market development had concentrated more on the secondary market where trading of
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market
to securities laws prior to court filings to strengthen legal enforcement and revise provisions on composition of offences related to unfair activities in securities trading to ensure clarity and
promoted investor advocate role of the Thai Investors Association (TIA) in Allowing direct access to trading platform Terminating the exclusive right of local securities firms to have a direct access to the
. Moreover, the daily trading volume increased from 18.9 billion baht to 20.5 billion baht. These results reflected the strengths of Thailand’s economic fundamentals and investors’ confidence in the prospects
of electronic trading platform for the trading of debt instruments and to define it as another type of securities businesses. The study is still going on and relevant rules and regulations are being
surveillance. As a result, the Thai BDC is expected to increase its role in market surveillance and to develop the electronic trading platform to accommodate the Thai debt instrument marketûs future growth
September 2022 First trading date 25 September 2018 The second quarter of 2018/19 (ended 30 September 2018) 4 VGi GLOBAL MEDIA PLC MANAGEMENT DISCUSSION & ANALYSIS 2Q 2018/19 7 NOV 2018 2Q 2018/19 SNAPSHOT