for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper

, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the

of REIT manager concerning reasonableness of transaction; (c) details concerning evaluation of asset disposal of the appraiser e.g. value appraisal date, appraised value, appraisal method, name of

of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise

as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial

following Divisions and Departments:           2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General

The evaluation of the legal effectiveness of the Emergency Decree is due under the Act on Legislative Drafting and Evaluation of Law B.E. 2562 (2019) (“the 2019 Act”), which requires that government

rules or regulations; (4) evaluate members’ compliance with rules or regulations over a reasonable time period; (5) produce reports on the evaluation and actions taken against members who violate or do

quality control systems. Of the total 32 audit firms, 53 percent received the Good to Very Good evaluation results – an improvement from 48 percent in 2019 and from 51 percent in 2020. In addition, seven

Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses