. In response to such change, the SEC closely monitors mega trends in international markets and aims to ensure the Thai capital market regulatory framework does not impede new developments. Equity
requirements on qualifications of each type of licenses will also be adjusted accordingly to ensure that the salespersons will have proper knowledge of the products they offer. Additionally, to increase the
directing Pan Asia Biotechnology Co., Ltd. to cancel the purchase transactions of ordinary shares of Bangkok Rubber Saharattana Co., Ltd. and Jones & Vining (Thailand) Co., Ltd., request full refund for the
to inform such material information led to the Revenue Department?s demand for refund of the tax deduction money plus a fine imposed on the client. {A}, however, has already compensated for the
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
issuer's board of directors. This is to ensure that the board is committed and responsible for decision-making and the disclosure of information related to ICO project; (2) Token holder resolutions: To
analyzed and put into good use by SEC to ensure that customer received the appropriate level of protection. The amendment of this regulation is part of SEC’s Regulatory Guillotine* project. The objective
unitholder is entitled to hold up to one-third of the total units of a scheme. In addition, REIT shall observe high standards of corporate governance, appoint independent directors and ensure that transactions
%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain