Bangkok, August 9, 2012 ? The SEC defines trust as securities issuer under the Securities and Exchange Act of 1992 in order to form clearer scope of duties and responsibilities of trust, trustee and other parties related to the transaction. When applying to Real Estate Investment Trusts (REITs), the regulations will make clear that REIT manager is responsible for disclosure of information on REITs? financial status and operational result.? Besides, the SEC allows type 1 property fund to borrow f...
Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital
, comprising banks, securities companies and asset management companies, could obtain CAC certifications, it will certainly be a strong signal that anti-corruption practices are very important issue to be
Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits
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regulations of all daily routines. In addition, the know your client rule must be adopted to identify the client?s investment objectives and actual beneficial owners. Informing clients of risks that may arise
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its