While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of

must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required

customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as

At present, real estate investment trusts (REITs) and infrastructure trusts are asset trusts that only have the legal obligation to prepare and disclose information, but in practice such

business providers, for the investors to receive quality service up to standard.Furthermore, the regulations would stipulate certain requirements from business providers which are that they must have

SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in

. Thakorn Taweesri and (5) Mr. Danuj Bunnag. As a result, they were deemed to have untrustworthy characteristics to become company directors or executives and were banned from serving as directors or

Bangkok, September 6, 2016 ? The SEC and the Asian Development Bank (ADB) have recently co-hosted an international seminar titled, ?FinTech in Capital Market: New Ecosystem for Market Based Financing

must submit to the SEC and publicly disclose the rectified financial statements that have already been audited or reviewed by the auditor. This follows the SEC finding that the auditor was unable to

and motivation of employee owner in the company. Under the proposed regulation, life-insurance agent entitled to participate in ESOP must have qualifications specified by the Office of Insurance