. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
management company shall comply with the following rules: (1) send a written request for the resolution of the unitholders or call a meeting of the unitholders; (2) provide sufficient information for the
rules: (1) send a written request for the resolution of the unitholders or call a meeting of the unitholders; (2) provide sufficient information for the unitholders’ decision making in the written request
SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
SEC Secretary-General Ruenvadee Suwanmongkol said that the relief measure for issuers of all types of securities applies to the annual registration statement fee (annual fee) that is due in 2020
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
be in accordance with the following rules and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity
, 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
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