The SEC Board has approved the principles for amending the regulations concerning ICO portals to allow the outsourcing of all system operations related to ICO portals, including certain due diligence tasks. This aims to increase flexibility and business efficiency, as well as to promote the roles of securities business operators (traditional players), thereby strengthening and enhancing the ecosystem. This will help investors access investment tokens more widely and provide businesses with more...
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to search for a wider range of information and details using advanced functions. For example, users can
the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are
of Accountancy from Chulalongkorn University, Thailand and a Master of Business Administration from Western Michigan University, USA. She has a wide range of experiences on capital market, including
investors to invest in a diverse range of securities products. By requiring that all types of securities offering to high net worth investors be proceeded through intermediaries, the proposed revision would
Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had