simply notifies the SEC of the outsource activities at least 15 days in advance.  In case of outsourcing to any other person, business operator is required to seek the SEC approval and outsourcing

1 24 August 2020 Subject : Notification on Resolution of the Board of Directors’ Meeting No.8/2020, Appointment of Directors in Replacement of Those who will Retire by Rotation, and Addition of

Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the

already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA

the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation

by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are:    (1)  A juristic person having

, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have

suspension in undertaking derivatives business as a derivatives dealer by the regulator of its home country . Clause 5. The juristic person under Clause 2 that wishes to register as a derivatives business

credit for securities business under the law on Securities and Exchange; (4)1 a juristic person established under foreign law, which is a derivatives business operator in the category of derivatives dealer

Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98