current circumstance, the issuer needs to rectify any illegal business activities in accordance with the board definition prior to obtaining an IPO approval. This could delay fundraising and consequently

set up and manage mutual funds. SEC has developed a system and revise the regulations for submission to set up and manage mutual funds with a filing via electronics system: the Online Fund Approval and

therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020.  SEC emphasizes the importance for investment consultants

suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and

the regulations on obtaining approval of the shareholders’ meeting and disclosure of material information and shall also comply with relevant regulations. Moreover, directors, executives and listed

SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are

by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager

of businesses in a wider range of industries. In addition, SEC is planning to waive approval and filing fees for SLB issuance, similar to Green Bond, Social Bond and Sustainability Bond, as SLB

of debenture without approval in violation of Section 33 and subject to the penalties under Section 268 of the Securities and Exchange Act B.E. 2535 (1992) (SEA); meanwhile, Ornpaphat and Kanyakorn

his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the