must work full-time in Thailand and have specified educational background and working experience. Business operators will also be required to specify, in writing, clear responsibilities of compliance

been applied by most institutional investors, i.e., (1) managing conflicts of interest properly, and (2) disclosing voting policy and voting results. Five other core principles are (3) adopting a clear

prospectus to be clear and concise by taking into account recommendations from industry.The proposed revisions aim to (1) simplify format for information disclosure, (2) facilitate minor amendments to be more

Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules concerning offshore offering of convertible debentures to boost efficiency and provide more accurate, clear and

, such as money deposit & withdrawal, money transfer or bill payment; (3) have nationwide networks/branches to reach out investors; (4) have clear and long-term business plan to provide selling agent

Mekong Sub-region (GMS) countries, namely, Cambodia, Laos and Myanmar. Under the revised rules, investment diversification will be relaxed while clear and adequate information on GMS instruments must be

Bangkok, November 16, 2011 ? The Capital Market Supervisory Board has approved a disclosure rule requiring issuers of all types of securities for public offering present a clear and concise factsheet

sale and redemption of Tokenized Fund units*, with the aim of providing clear and appropriate operational guidance for mutual funds issuing units in such form. The amended regulations have been

, or arranger may mislead market participants. Likewise, conflicts of interest or other undue factors internal and external that might, or even appear to, impinge upon the independence of ity. Where

, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management