a result, NUSA was required to amend its financial statements to ensure disclosure of accurate information. However, it has been found that the annual financial statements for the year 2023 and the

for the SEC Board to add types of knowledge or experience required on candidates to  be selected and appointed as members of the SET Board, as deemed appropriate to the current situation.The SEC Board

Businesses, dated 3 July 2018) is to be revoked;                 2) DA operators are to be required to seek approval from their CEO* before launching any advertisement. Additionally, DA operator’s Compliance

PE Trust status with the SEC and transfer unit trusts to others in accordance with the investment and condition requirements as prescribed by the Revenue Department. Currently, PE trustees are required

The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow

on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without

in the capital market. Under the draft regulation, business operators in the capital market will be required to set up independent compliance unit with sufficient personnel while head of compliance

revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and

act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed material information that should have been disclosed in

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal