The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
will allow them to mobilize funds in accordance with their type and size. For example, issuers will not be required to submit documents for SEC’s approval before offerings of shares and convertible
offering with SEC. After the offer for sale of insurance capital bond, the issuer is also required to disclose financial information related to capital adequacy requirements to investors regularly.In
required to conduct a knowledge test on investors before providing services to them. The consultation paper is available at https://bit.ly/3knvOOk. Stakeholders and interested parties are welcome to
information is required in the filing of debt instrument offering including use of proceeds, process for project evaluation and selection, management of proceeds, and reporting. Appointment of an external
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also