) Discontinuing non-broker operations and ensuring their compliance with specified regulations. It was found that the company engaged in other businesses that could lead to conflicts of interest, and these
shares to persons in the same group whereby the filing of the registration statemen is not required; (2) ESOP of repurchased shares in compliance with the rules and conditions specified by the SEC
specified by law must submit a written clarification of the reason for the postponement to the registrar on a case-by-case basis after AGM has been held. In addition, SEC is considering a deadline
postpone their general shareholders’ meeting. As a result, the approval and submission of the annual financial statements to SEC cannot be done within the deadline specified by law, and consequently the
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
specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has
amendment takes effect on 1 February 2023. In any case, the quota allocation for foreign exchange transactions of digital asset business operators is approved annually or periodically, as specified by the
specified qualifications.The proposed revision aims to provide an opportunity for intermediaries to deposit or invest clients? assets under their custody in more types of low-risk, high-liquidity products