for the SEC Board to add types of knowledge or experience required on candidates to be selected and appointed as members of the SET Board, as deemed appropriate to the current situation.The SEC Board
Businesses, dated 3 July 2018) is to be revoked; 2) DA operators are to be required to seek approval from their CEO* before launching any advertisement. Additionally, DA operator’s Compliance
PE Trust status with the SEC and transfer unit trusts to others in accordance with the investment and condition requirements as prescribed by the Revenue Department. Currently, PE trustees are required
The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
in the capital market. Under the draft regulation, business operators in the capital market will be required to set up independent compliance unit with sufficient personnel while head of compliance
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and
act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed material information that should have been disclosed in
, and subsequently submit them to the SEC. NUSA is also required to make simultaneous public disclosure through the Stock Exchange of Thailand’s Electronic Listed Company Information Transmission System
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the