therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the
than plain vanilla instruments, all types of offerings must submit an application for approval and ensure continuous disclosure of information on net capital; (2) To require that plain vanilla
and continuous audit work for listed companies in compliance with stricter professional standards. The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of
somewhat more popular fund raising channel as witnessed by the continuous increase in corporate bond market value. Survey on asset management companies indicated that mutual funds for accredited investors
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)
Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)
Re: Application and Approval for Offer for Sale of Structured Notes
Re : Application for and Approval of Offer for Sale of Newly Issued Debt Securities