Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
their business, (2) ensure their business continuity, and (3) better address operational risk.Essentially, the draft amendments would allow intermediaries undertaking asset management business and
qualifications whereby an IPO applicant shall not get involved in any illegal business. The proposed amendments are in line with the regulations for issuance of newly issued shares of public limited companies
public announcement of a business takeover but failing to meet certain pre-conditions for making a tender offer for securities of such business because of uncontrollable external factors will be exempted
outsourcing, facilitate more flexibility, reduce operating cost and enhance business in the area outside the business operator?s specialization. Business operator will be allowed to outsource activities
international standards in the area of Thai securities business. The SEC always emphasizes on anti-money laundering and announced the regulations to ensure that preventive measures against use of securities
: Rules, Conditions and Procedures for Undertaking Securities Business in the Category of Securities Financing dated 13 July 1996 as amended by the Notification of the Securities and Exchange Commission No
Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking Securities Business in the Category of Securities Financing dated 13 July 1996 as amended by the Notification of the
ตราสารทุน, partnership interests, business trust shares, ownership interests in business enterprises, ADRs (American Depositary Receipt) และ GDRs (Global Depositary Receipt) กองทุนมี net exposure ในหน่วย