, and infrastructure funds. The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group
its curated deals • An ICO portal may invest in its curated ICOs. While this could enhance the confidence of the investors, there is a concern that the ICO portal may have superior information and have
Bangkok, October 26 2011 ? SEC Secretary-General Vorapol Socatiyanurak expresses his concern over impact of flooding situation that ?flooding of this magnitude has affected some manufacturing and
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
into force since 3 March 2021. Additionally, the SEC has revised related regulations to allow the existing business operators to switch to License E or PF License in line with the business model they