securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange (No. 3) dated 13 July 2015 (effective on 16 August 2015). 13 (b) breaching the law on supervision of the
Bangkok, March 14, 2016 ? The SEC in cooperation with the Association of Investmeent Management Companies (AIMC) will jointly prepare Thailand: Institutional Investor Code as a guideline for
Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
bondholders’ representative appointment agreement. Additionally, bondholders’ representatives can use the appointment agreement as a guideline to enhance the efficiency of their duties, which could
, and assessment of impairment indicators, etc. TFAC will feature examples of each guideline and other related matters on YouTube in due course. SEC Secretary-General Ruenvadee Suwanmongkol said
Engagement) ของนักลงทุนสถาบัน ซึ่งนักลงทุนสถาบัน 32 แห่ง นำโดยกองทุนบำเหน็จบำนาญข้าราชการ (กบข.) ร่วมลงนามแนวปฏิบัติ “การระงับลงทุน” (Negative List Guideline) เพื่อยกระดับการลงทุนของไทยสู่การลงทุนอย่างรับผิด