business license, Sor-1 type, for failure to maintain the required qualifications, effective 24 July 2023.The SEC is responsible for ensuring derivatives business operators’ compliance with the applicable

opening an investment account cross the industry, to be applicable for all types of investment products.* The draft regulations take into account the comments and suggestions gathered from the previous

restrictions or obstacles in business operations in order to prescribe rules which are appropriate, practical and beneficial to stakeholders. This revision of notifications is not applicable to securities

draft notification to make the financial statement forms more concise.The revised rules will be applicable to the financial statements for the accounting period commencing from 1 January 2020 and

the public prosecutor in writing to file a civil lawsuit against (1) and (2) for imposition of the maximum applicable civil sanctions comprising a monetary civil sanction of 12,005,620 baht plus

comply with rule preventing any person or group of persons from holding more than 1/3 of total investment units sold which has already been applicable to other types of mutual funds. In case where any

market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable

total number of REIT units sold, the limit applicable to other unitholders. The relaxation aims at enabling trustee participation in firm commitment deals of underwriting REIT units.  The above amendments

, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed

Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both