companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian
amend its rules to be more flexible without too high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of
amend its rules to be more flexible without high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of fixed
amend project details, including inform every unitholder of the changes at least 60 days in advance. Within such period, asset management company must repurchase the fund?s units at least once, while
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board's Meeting that the Board resolved to amend the underwriting rules and
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board?s Meeting that the Board resolved to amend the underwriting rules and
indebtedness. Under the said circumstances, the debt securities holders may expose to legal risk that would restrain them claiming on the assets of overseas headquarter. Thus, the SEC proposed to amend the rules
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements
executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. In granting an approval under