Complex Type 1 Investment Consultant
To enhance clarity and consistency with the current business practices of the private sector, the SEC has issued regulations revising the characteristics of “bills” deemed as “securities,” which
investment complies with the company’s investment policy framework as laid out by the Board, and that it has been considered carefully and reasonably. Despite exposure to several risk factors, the investment
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
Determination of Undertaking not Deemed as a Derivatives Dealer
Determination of Characteristics of Bills Deemed as Securities (No. 2)
Determination of Securities Issuer Deemed as a Company