Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister.Mr. Pichit Akrathit, Chairman of the SEC Board, said: “Capital market
assets, SEC must closely monitor and supervise digital asset businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister . Mr
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose