companies in the future. They could also be a guideline for addressing issues in the financial reporting ecosystem as well as improving the supervisory system and the quality inspection of the approved
scope of every five percent report to cover financial instruments issued by others, which entitles the holder to convert or demand delivery of securities issued by listed company, e.g., derivative warrant
Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds to both SEC and BOT on a monthly basis. In order
According to the SEC’s public hearing in the fourth quarter of 2022, the majority of respondents expressed support for the proposed principles and draft regulations, and some also suggested that the timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the public’s recommendations into consideration. On 23 May 2023, the Capital Market Supervisory Board Meeting No. 5/2566 passed a resolution ap...
to promote local fund mobilization by foreign companies. Concurrently, a proposal to streamline the rules on reporting of securities holding in Thai companies is under consideration to reduce burdens
public would face investment difficulties as they received a lot of information but could not analyze and compare a variety of investment products available or were advised to purchase individual products
The SEC is considering amendments to the regulations regarding the submission of the financial statements by REIT managers to reduce redundancy and the burdens of REIT managers who are mutual fund
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision