Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and Derivatives Fund Management Companies and Provisions in Case..
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of Derivatives Business In the Category of Derivatives Investmen
Approval of Auditors in the Capital Market
Additional Provisions relating to Offering for Sale of Units of Collective Investment Schemes between Hong Kong Special Administrative Region of the People?s Republic of China and Thailand
Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement
Rules in Detail on Establishment of Information Technology Systems
Guidelines on Establishment of Information Technology Systems
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE Trust status with the SEC. The SEC is therefore conducting the public hearing on the proposed principles and draft relevant notifications, requiring VC or PE Trust preferring revenue tax exemption to notify its respective status with the SEC in accordance with the rules, conditions, procedures as wel...