Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
of Shareholders No.1/2021 to electornic meeting (Adjust Template) 05/01/2021 18:27 Notification of the change of Meeting venue and change a method of convening the Extraordinary General of Shareholders
Rules on Establishment of Information Technology Systems, with the following key points: (1) To adjust the frequency of submitting IT audit reports to be appropriate for the risk level of small
stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
three years or upon occurrence of a widespread adverse incident; (2) To adjust the submission schedule for the Risk Level Assessment (RLA) report and IT audit report to be within the same period (during
adjust the assumptions for cash flows projections of those subsidiaries to calculate the recoverable amount appropriately, and to consider the adequacy and appropriateness of the impairment loss for
considered that Item 4 that has already been approved shall also be canceled. Furthermore, it is considered that the consideration and approval of various matters as detailed in Item 3 and Item 4 have not been