Executives / Personnel Major Shareholders Protection of Customer Assets (Section 98(3)) Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise
appropriate investor protection. “Through this conference, we can expect to see stronger cooperation among regional regulators, sharing of knowledge, views, technical expertise and other experiences
Bangkok, 25 October 2017 ? The SEC in cooperation with securities companies, asset management companies and the Stock Exchange of Thailand Group exercised a joint cyber drill to raise the industry's
money market funds was 240 billion baht, or 3% of savings deposit. In the future the Deposit Protection Agency would reduce the maximum insured amount of bank deposit to only 1 million baht. Hence, money
Forms for Financial Statements of Securities Companies
Issuing secured bonds and appointing a qualified bondholders’ representative can enhance investor protection, especially in the event of a default in debt securities crowdfunding. However, the
business sectors. In so doing, the SEC cooperates and discuss with the Association of Investment Management Companies (AIMC) to amend the regulations for calculation and announcement of net asset value
investors in Thai listed companies will be more confident in term of sufficient investor protection. The announcement further illustrates that the SEC?s practices and supervision are in conformity with