derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The

exchange. While the investment objective in relation to derivatives trading will no longer be limited, derivative brokers, in providing the service, will be required to comply with rules and practices

auditors.Earlier, auditors gave qualified opinions on the said companies? financial statements after concluded that those financial statements did not comply with the generally accepted accounting principles. The

to investors the information on such investment. Asset management companies must, additionally, comply with rules governing derivatives investment which include rules on counterparty limit, reserved

, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to

of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational

provide more investment flexibility for business sectors and comply with international regulations by allowing REIT to give a similar kind of financial support to its subsidiaries as listed companies do to

2,062,039 baht (comprising a civil penalty and a reimbursement of investigative expenses incurred by the SEC).In this regard, JKN agreed to comply with the civil sanctions imposed by the CSC by signing a

days in order to comply with the Cabinet resolution.Stakeholders and interested parties are invited to submit comments via the SEC website at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1144 via

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply