The amendments contain key points as follows: (1) Repealing the requirement for crowdfunding debt (CFD) issuers to report significant events to the SEC, as specified in the Notification of the
) Discontinuing non-broker operations and ensuring their compliance with specified regulations. It was found that the company engaged in other businesses that could lead to conflicts of interest, and these
shares to persons in the same group whereby the filing of the registration statemen is not required; (2) ESOP of repurchased shares in compliance with the rules and conditions specified by the SEC
specified by law must submit a written clarification of the reason for the postponement to the registrar on a case-by-case basis after AGM has been held. In addition, SEC is considering a deadline
postpone their general shareholders’ meeting. As a result, the approval and submission of the annual financial statements to SEC cannot be done within the deadline specified by law, and consequently the
The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow
specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has