SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
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Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business
Bangkok, August 13, 2008 ? The SEC conducted in June a public hearing on the revision of takeover regulations regarding the definition and scope of ?acting in concert? subject to reporting or tender
ในทางปฏิบัติบางประการ และเป็นภาระแก่ภาคเอกชนในการขอผ่อนผันการทำคำเสนอซื้อ ก.ล.ต. จึงเปิดรับฟังความคิดเห็นการปรับปรุงหลักเกณฑ์การเข้าถือหลักทรัพย์เพื่อครอบงำกิจการ (Takeover) ตามที่ได้รับความเห็นชอบ
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
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