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...
inconsistent with the ever-advancing technologies and do not allow businesses to access necessary information sufficiently. The FinTech Act would not only reduce such limitations by allowing established
) concerning the establishment of the Capital Market Development Fund (CMDF). This second consultation focuses on revising the CMDF's objectives to include necessary financial support for the Stock Exchange of
by commercial banks and banks established under specific laws, but limited to those with investment grade* credit rates or support rating**, as the case may be, including government-guaranteed banks
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
private sectors to make necessary preparations. The essences of the SEA Amendments are: 1. Enhanced investor protection: For example, minority shareholders are entitled to (1) propose agenda items
Bangkok, August 28, 2012 ? ?It is necessary to expand access to sources of fund for business of all sizes, especially SMEs. The capital market can offer diverse financial vehicles and one of the
financial institution established under specific law. ?Recently, bills of exchange have been actively used for fundraising not only from institutional investors but also from private individuals either
Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance