The Capital Market Supervisory Board (CMSB)’s meeting, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution yesterday to facilitate listed companies and securities issuers who have to postpone their annual general shareholders’ meeting – and are subsequently unable to appoint an auditor – due to the spread of the novel Coronavirus (Covid-19). In this regard, CMSB has allowed the affected listed companies and securities issuers to appoint an auditor on the SEC ap...
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement
Exemption from Submitting the Registration Statement In case of Non-public Offering Securities Issued by Foreign Company
Listed companies may postpone the AGM holding based on their discretion; however, a written clarification of the reason for the postponement must be submitted to the registrar on a case-by-case
this regard, SEC has included the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in Case of Possible Impact on the Holding of Juristic
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Mr. SomChai Kurujitkosol The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.287 Criminal Complaint Filed with an Inquiry Official Dated 17/06/2009