appropriately and sufficiently in line with the number of clients and the transaction volume;  2)    Rectifying the client acceptance policy to be consistent with the work systems capable of providing services

:                            (1)  100 million baht for undertaking securities business with the obligation towards clearing and settlement system;                          (2)  25 million baht for undertaking securities

voting rights” and opened public hearing on the matter in late 2018. The stakeholders mostly agreed with the principle. SEC is proposing a draft notification of the Ministry of Finance which reflects

additional capital at a rate commensurate with the size and degree of business operations. Both asset management companies and trust managers must comply with relevant regulations governing their respective

with the SEC, thus causing it to be an unapproved share offering.NEWS private placement without the SEC approval was in violation of Section 33 and liable to the penalties under Section 268 of the

plant infrastructure funds to use the capital market to raise funds as the industry is important to national development. The move will bring the regulations into alignment with the government’s

ideal candidates should also have other useful experiences for performing the Secretary-General role in alignment with legal intent, vision, mission, and objectives of the SEC to promote, develop and

The SEC Civil Sanction Committee (CSC) had earlier resolved to impose civil sanctions on all four offenders of this case, among which only two agreed to comply with the specified civil sanctions

, at the total amount not less than 20 percent of the principal value as of the issuance dates of the bonds. The partial principals will be paid through three installments in concurrent with the due

transparent, fair and free from anti-competitive situations;        (2) Post-approval duties of the association: The association shall perform its duties in accordance with good governance principles and