management process of mutual funds, the SEC encourages asset management companies to strengthen the efficiency of such process. This includes establishing a clear risk management policy and measures

. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of

Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of

type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities

impact enterprises to pitch their business models to both Thai and foreign investors. It also presented Thai social impact enterprises to become better known among foreign investors and gave impact

SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For

business operations, which could have a material impact on the company’s business. Therefore, ALL was required to disclose information regarding these legal disputes in the form 56-1 One Report for the year

percent of shareholders’ equity and has no other legal disputes that may materially affect the group’s business operations.” This case is in the process of inquiry by the inquiry official SEC Act S.300

Bangkok, 25 July 2017 ? The SEC is seeking public comments on the draft amendments to the rules governing application for a waiver of mandatory tender offer for all securities of a business pursuant

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business