applicant submits a complete application and required documents; (2) Reducing a ban period for reapplying in the case where the application is withdrawn by the applicant, from six to three months; (3
with a copy of documents demonstrating the remaining money or assets, calculated in value per unit, to be returned to the trust unitholders, when a copy of financial statements have been submitted to
requirements and IT risk management system. In addition, the proposed amendments streamline licensing procedures in consistent with other securities businesses. The consultation paper is available in Thai
trustees shall be made in accordance with the rules and regulations specified by SEC and that trustees are permitted to charge for expenses incurred in making copies of documents as required by the SEC
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
in the long run.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2033-9660 or
such service be considered as a part of the portfolio advisory with execution or standing order, as the case may be.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and
’ meeting and other related documents may be sent electronically.At the same time, SEC is setting out a clear guideline for determining in which cases asset management companies may seek an approval from