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
for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are
and executives are subject additional disclosure only in case of simultanous holding of similar positions at other listed companies. This requirement also applies to independent directors who provide
instruments linked to the underlying securities only. 2. Following extension of trading hours for precious metal derivatives on Thailand Futures Exchange Plc., starting from 19.30-22.30 hrs. (night session
allowed to offer only to any investors with a minimum subscription of 10 million baht. In addition, investment in infrastructure trust will obtain the benefit of tax neutrality. Upon receiving revenue
service for investment in mutual funds; and (5) demonstrate readiness in terms of financial condition, operational systems and human resources.?The new type of selling agents will not only promote
companies offering equities in Thailand. To begin with, the first category under the proposal covers primary listing where foreign companies offering equities and becoming listed firms only on the Stock
certificates will be limited to institutional investors or high net worth investors only; therefore, is exempted from the SEC?s approval.? ?To make investment in PE trust more attractive, the SEC will further
allowed to offer the service permissible under their licenses on overseas financial instruments. The revision not only aims at increasing the investors? readiness for overseas investment but also enhancing