must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
Techamuanvivit, Director of the Investment Management Supervision Department4. Ms. Chutima Leelajindamai, Director of the Legal Department – Corporate Finance5. Mr. Songyod Bunjoungmanee, Director of the
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
1 (TRANSLATION) SAFARI WORLD PUBLIC COMPANY LIMITED PCL 0107537000351 Ref. No. 080/2019 4 December 2019 Subject: Notification of the Resolution of the Board of Director’s Meeting regarding of the schedule of EGM1/2020, Capital Decrease, Capital increase, an Increasing of investment cost in Carnival Magic Project, and compensation for design and construction to related person. To: Managing Director The Stock Exchange of Thailand Reference: 1. Information Memorandum on the Issuance and Offering of...
and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For further details of this
of clients. Chapter 7 Acceptance of Trading Orders of Capital Market Products Outside Intermediary’s Office ____________________ Clause 36 In this Chapter: “ stock exchange ” means the Stock Exchange
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of