emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
statements, earlier extended to May 31, 2012. Previously, the SEC ordered PRO to rectify its 2011 financial statements due to the limitation of audit scope by the company?s management on the matters concerning
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance
Bangkok, August 9, 2012 ? The SEC defines trust as securities issuer under the Securities and Exchange Act of 1992 in order to form clearer scope of duties and responsibilities of trust, trustee and
of the Bank of Thailand (BOT). SEC would like to thank BOT for fostering the development of NDID system to its practical use and allowing the extension of its scope of services to intermediaries in
information on related party transaction in the registration statement and thus mislead investors. Besides, they did not advise the applicant in order to comply with relevant rules and regulations, particularly
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities