peruse the tender offer information cautiously and keep abreast of the offer price adjustment and the required extensions. Regarding the non-compliance with the tender offer rules, the SEC will consider to
one-fourth of board members by January 1, 2016. From January 1, 2016, new licensees must appoint independent directors in compliance with the specified proportion prior to commencing business
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
allowed to outsource only to subsidiaries, audit firms, or financial institutions. For instance, outsourcing risk management and compliance will be allowed only to subsidiaries; while the fund investment
, etc. For cross-border offering of CIS under ASEAN CIS framework, the SEC may grant a waiver of compliance with Thai regulations for Thai asset management companies? offshore offering to promote the
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For
information of a company secretary, and head of compliance unit.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit
information of a company secretary, and head of compliance unit. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to