management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
services and putting investors first, while discussed with the business operators for comments and suggestion on this issue. The proposed guidelines and this public hearing will be presented to business
with the added types of license prescribed in the draft Ministerial Regulation. In this regard, financial institutions established under specific laws would be allowed to apply for Type E Securities
Microsoft Word - เอกสาร hearing-be-website-final.doc เอกสารรับฟังความคดิเห็น เรือง แนวทางการกาํกบัดูแลการออกและเสนอขายตัวเงนิ สํานักงานคณะกรรมการกาํกบัหลกัทรัพย์และตลาดหลกัทรัพย์ (http
Bangkok, 19 October 2017, The SEC has notified Group Lease Public Company Limited (GL) that failure to correct its financial statements promptly may be deemed a misconduct in violation of the
Sucharitakul, the SEC?s Secretary-General, revealed that the Capital Market Supervisory Board approved the revision of regulations to facilitate debt securities offerings. An approval of two year program will be
fund in Thailand will be subject to the similar approval criteria and other relevant regulations applicable to Thai companies. Moreover, certain rules will be added; for example, corporate law governing
Bangkok, January 27, 2015 ? The SEC eases investment rules to allow mutual funds for retail investors (retail fund) and private funds to invest in the GMS instruments. Vorapol Socatiyanurak, SEC