rectification requirements. Consequently, the SEC Board resolved to propose the revocation of Zipmex’s digital asset exchange and broker licenses for the Minister of Finance’s consideration. The SEC Board also

investible by Thai mutual funds. This includes foreign CIS in other forms, such as commodity-based trust.** The qualification requirements for foreign CIS are: (1) the issuance and offering is under the

The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as

at least five members to the board of directors, and of this at least two board members shall be independent directors, as well as to establish an audit committee. These requirements aim to ensure that

context of Thailand. This includes ESG disclosure requirements in the SEC’s 56-1 One Report, assessments and consistence with international standards in order for the fund business to serve the demands of

with legal and regulatory requirements in their respective jurisdictions. Japan and Thailand have completed their preparation. In Australia legislation is before Parliament. In the Republic of Korea

take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii

country. In the future, they might move forward to other capital market businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements

Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of

requirements to emphasize the importance of corporate governance practices and corporate social responsibility and the disclosure thereof. The SEC also supports training to enhance knowledge and experiences of