market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market
of persons; and revising definition of the same group of persons to include controlling persons. The draft regulations and consultation paper are available on the SEC website at www.sec.or.th
changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
statements, certain information appeared in the interview was different from that disclosed in the registration statement (filing form). The differences include the information on gross profit indicated at 10
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . The amount of fines does not include daily fines starting from the day following the settlement date to the day the
person 15/05/2019 18:40 Notification of the connected transaction-borrowing from connected person- Add 14/05/2019 20:51 Notification of the connected transaction-borrowing from connected person Remark
Council of State.In brief, the Draft includes the following amendments: 1. Add provisions to accommodate electronic securities issuance (Part 2/1: Electronic Securities, from Section 62/1 to Section 62/11
discover innovative ideas that could add value to the Thai capital market using SEC Open Data. During this final round, the participants transformed their previously proposed ideas into prototypes within