Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...
convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
กลุ่มบุคคลใดมีอำนาจแทรกแซงการจัดการกองทุนรวม (dominate) ได้ สำหรับกรณีที่ยกเว้นให้ในครั้งนี้ เพื่อไม่ให้เป็นอุปสรรคต่อ บลจ. ไทย ในการนำ ASEAN CIS ไปขายในต่างประเทศ เนื่องจาก บล. ต่างประเทศ อาจปฏิเสธไม่ขาย
problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow, which needs the collaboration among sectors, including the PVD members, who are employees in
a majority position, and another 12 in which it is a minority shareholder. The 58 SOEs have over 250,000 employees, assets of 6 trillion THB, revenue of 2.7 trillion THB, dominate key sectors
ใน 3 ได้ อย่างไรก็ดี เพื่อป้องกันมิให้บุคคล/กลุ่มบุคคลใดสามารถมีอำนาจแทรกแซงการจัดการกองทุนรวม (dominate) หรือใช้กองทุนรวมเป็นเครื่องมือในการหลีกเลี่ยงภาษี เห็นควรให้แก่บุคคล/กลุ่มบุคคลดังกล่าว
Brand Growth Strategy Dominate Digital Payment Reimagine Commercial & Consumer Lending Democratize Investment & Insurance Penetrate Regional Market Net Zero Society Net Zero in Own Operations Decarbonized
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case