without a license. As a result, DA business operators are prohibited from depositing their clients' assets with this company. In addition, the SEC has previously submitted information about unlicensed

positions in a company whose license is denied or revoked, or whose license application is withdrawn, or whose record shows participation in or support of wrongdoings of companies liable to operate a

to become members of a provident fund through three different approaches: 1) a single fund, 2) a group fund, and 3) a pooled fund, established by an asset management company and subject to enhanced

such services. The newly established company must apply for a license within one year from the effective date of the amended ministerial regulations. The consultation paper is available at: https

inconsistent due to different criteria for different types of securities offering, to be in line with the same definition to improve clarity and practicality. The consultation paper is available at https

; (2) Exemptions from reporting for directors or executives who are spouses or cohabitating partners in the same listed company, if one of them has already submit the reports to the SEC. This shall

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

investors.  The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=719. Stakeholders and interested parties are welcome to give comments and suggestions via the website or

price of the shares must be at a fair value valuated by a financial advisor, who is approved by SEC and independent from the offeror; (c) there must be an independent securities company giving advice

after the issuer has become a listed company. SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC always emphasizes the importance of information disclosure of listed companies to make sure that