mutual funds under management of the same asset management company only up to two tiers for general mutual funds may not be flexible enough.  The SEC has therefore revised the governing rules in this

securities. The consultation paper is available in Thai version only at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=920. Stakeholders and interested parties are welcome to submit comments and

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

may consider further extension. If the AGM 2020 agenda contains only matters for acknowledgement, asset management companies and REIT managers may choose to send out such information instead of

: (1)  Eligible investors are institutional investors and/or high net worth investors only;  (2)  Eligible investment vehicles are mutual fund or trust fund (to be established by the end of 2021); (3

in all categories. Initiated in September 2019, the single form will allow investors to fill in information only once when they open an account to invest in any product in the capital market, for

information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but

encourage investment analysts and fund managers to integrate ESG factors into their investment or advisory process and risk-return models. By doing so, fund managers and investment analysts will not only

ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the

provision.However, the draft guidelines will be effective and applicable to the aforementioned business operators only if approval from SEC has been obtained. SEC is, therefore, seeking comments from the business