collection of client information and KYC. Most respondents agreed with the SEC’s proposal. The SEC has therefore revised the regulations on requirements for business operators unable to maintain net capital
shall come into force from 16 January 2016. Clause 2 The following notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 3/2556 Re
qualifications and does not have prohibited characteristics pursuant to the law governing derivatives and notifications issued by virtue of the said law. The letter of certification shall be signed by the person
fundamental system which has connection to the derivatives trading system and other relevant systems. Meanwhile, an information technology system is necessary for derivatives clearing houses to achieve their
into a substantial transaction classified as an acquisition or disposal of assets, dated August 31, 2008 (as amended) and Notification of Stock Exchange of Thailand Board Re: Disclosure of information
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
, including the notifications of the Office of the Securities and Exchange Commission, orders and circulars issued or providing guidelines in accordance with the aforementioned Notification of the Capital
: Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal of Assets Transaction”). The
the Notification of the Board of Governors of the Stock Exchange of Thailand regarding the Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposition of
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that