include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and
undertaking of securities business will be proposed to the Ministry of Finance.The revisions will help promote investment unit brokerage. The more service providers, the greater access to a variety of financial
revisions are as below: (1) The business operator can temporarily use subordinated liabilities in excess of the shareholders’ equity portion without counting it as total liabilities in calculating
take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii
improved include revisions of rules on management fees, information disclosure for investment decision, etc. Additionally, the SEC has been working on a number of projects for investor benefits in the long
revisions and will clarify the requirements of the revised regulations as well as providing guidelines for business operators accordingly. 4 “SEC Thailand is a recipient of Digital Government Awards 2020 and
support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the
website for the unitholders’ review, and deliver a summary of all revisions to the commitment during the accounting year accompanied with the reasons and the necessity thereof to the unitholders at the time