Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
asset management companies. Both notifications are to be published in the Royal Gazette.“Asset management companies wishing to establish these SSFs can submit draft applications to SEC consideration in
at least five members to the board of directors, and of this at least two board members shall be independent directors, as well as to establish an audit committee. These requirements aim to ensure that
token services. Additionally, a transitional provision will be established, requiring securities companies currently providing cryptocurrency and utility token services to establish a separate entity for
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Conduct containing the following measures: 1. QUALITY AND INTEGRITY OF THE CREDIT RATING PROCESS A. Quality of the Credit Rating Process 1.1 A CRA should establish, maintain, document, and enforce a credit
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking