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

threshold of the total voting rights of the company. Miss Paleerat was therefore required to report the total number of shares held in accordance with Form 246-2, submit a declaration of intention to acquire

–denominated bonds in Thailand by foreign entities (FX Bonds), and securitized bonds with foreign risk*, are required to obtain an issue rating of not lower than investment grade from an international credit

, 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