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
agencies while also adding efficient tools to ensure market stability through the following actions: (1) a Capital Market Development Fund has been established; (2) the Stock Exchange of Thailand is required
latest financial statement before the transaction. However, according to the Notification of the Acquisition and Disposal of Assets, this transaction is not required for submission of an application to
/watch?v=7XwhgqivWxk https://market.sec.or.th/Documents/ca/Documents/E-Submission-Training-P2.pdf https://www.youtube.com/watch?v=7XwhgqivWxk https://market.sec.or.th/Documents/ca/Documents/E-Submission