;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required
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SEC regarding the revision and modification of mutual fund projects. SEC may approve the revision of a project if the revision does not have material impact on the unitholders and does not
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
other related criteria. Subsequently, the SEC took into consideration the comments and suggestions from the private sector and proposed a revision to such principles, which was later approved by the SEC
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance
fluctuation.The SEC sought public comments on principle for revision around middle of last year where majority of respondents gave favorable feedback and this time seeks public comments on 4 proposed regulations
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit