well as persons who have relationships or coordinated actions with others in a manner prescribed by the SEC (acting in concert).In addition, transitional provisions require business operators to review
mutual fund project or revision to the management procedure in the manner specified by the notification of the SEC Office, the securities company may seek an approval of the SEC Office in lieu of
exemptions must continue to comply with all relevant laws and regulations and remain fully subject to the SEC’s supervision, in the same manner as Thai operators. The SEC expects this to help promote a more
relating to fund members’ retirement financial planning in a more appropriate manner. In this regard, the SEC has reviewed the existing articles of funds and the items prescribed under Section 9 of the
in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
accurate, complete, truthful and updated manner; (2) establishing a code of conduct or rules for securities transfers, pledges, securities attachments, issuance of new securities certificates and other
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in