was director of the Portfolio Advice and Provident Fund Supervision Department and later the Finance and General Administration Department. _______________________
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
transaction between the trust and the trust manager or its related person; (d) the trust manager is granted with an approval on the offering by the SEC Office. Clause 7 The stipulation concerning the decrease
resulted in the cessation of a subsidiary. 26/11/2019 17:34 Approval of Acquisition of Assets N Hospital Company Limited with additional 16.67 % 20/11/2019 09:06 Approval of Acquisition of Assets (Revised
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its