Plain Investment Consultant
Complex Type 2 Investment Consultant
unable to contact or identify PVD members. Therefore, in order to accommodate AMCs in making payment out of the fund to PVD members in accordance with the aforementioned law and in managing unclaimed
Guideline for Internet Regulation แแนนววททาางงกกาารรกํ ากํ ากักับบดูดูแแลลกกาารรทํ าทํ าธุธุรรกกรรรรมมดดาานนหหลัลักกททรัรัพพยยผผาานนสื่สื่ออ oonn--lliinnee บทนํ า การใช Internet เปนสื่อในการ
operators must be the financial institutions under the Anti-money Laundering Law. The SEC may exempt the requirements for certain types of digital token offering or digital asset businesses. In case of law
such information to another person (tippee) who also must not seek unfair benefits or forward the information to any subsequent person. By law, it is initially presumed that an insider (e.g., director or
Bangkok, April 28, 2014 ? The SEC is seeking public comment on the proposed amendments to the Securities and Exchange Act B.E. 2535 (1992) or SEA to increase competitiveness of Thai capital market in line with international practices. The proposals aim to support market readiness for current dynamic environment resulted from freer flow of capital and ever more connected capital markets and economies. Additionally, the proposed revisions are expected to provide more flexibility for business oper...
debt instrument issuance and takeover activities and enhancing oversight of audit firms and capital market professionals; (5) Enhancement of Law Enforcement and Penalty: vesting SEC officers the power
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance