Complex Type 3 Investment Consultant
legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer
necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen burdens on people. By doing so, methods used must be done
SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a