business operation after the offering. Furthermore, the SEC has proposed a revision to the timeline for submitting financial statements for the six-month period and the annual financial statements of the
replace the current regime whereby each license represents a bundle of business undertakings, which proves to be costly to licensees. The revision would allow more flexibility and support future types of
On 7 April 2022, the SEC Board Meeting No. 4/2565 approved the exemption for the filing of the registration statement for rights offering (RO) and ESOP of repurchased shares on the condition that public limited companies have already complied with the rules and conditions specified by the SEC. For example, the requirement of the resolution of the shareholders’ meeting for ESOP of repurchased shares at a price lower than the market price. The governing regulations in this regard have become effec...
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
permitted under existing regulations. In addition, asset management companies could offer multiple classes of investment units classified by currency to investors. The revision aims to facilitate more
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk