that most of holding company assets be placed in the core business managed and controlled by holding company and requiring an appropriate mechanism be available for protection of the benefits of holding

rights and benefits of securities holders or the decision making of investors, the SEC, by virtue of Section 58(2) of the Securities and Exchange Act B.E. 2535 (1992), has therefore ordered MORE to clarify

that company. This is to ensure that REIT receives full benefits from invested assets and that REIT can supervise and control subsidiary companies’ operations to be in compliance with the same rules

personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in the economic sector. Thus, FETCO will be able to bring more efficient cooperation with both public and private sectors.    Under the proposed law, the structure of the Capital Market Federation of Thailand will be, among other things, as follows:(1) it will be a juristic person under the Securitie...

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

stakeholders, information and comments from which was used in drawing up a proposal for revision of oversight of auditors and audit firms in Thai capital market, TDRI offered a detailed proposal as follows: (1