types of mutual funds. SEC therefore has amended the rules governing money market funds to enhance flexibility of asset management companies in managing funds and enable them to response to the needs of
procedures and expenses. Furthermore, capital market tools currently available do not respond to SMEs’ needs. Therefore, SEC is now developing new rules to add more fund mobilization options for SMEs that
requirements in these FAQs does not necessarily mean that an application will be accepted or an approval will be granted. The SEC reserves the rights to exercise all powers conferred under the law. Unless
shall be deemed to have obtained general permission and thus be exempted from SEC disclosure requirements. The relaxation is granted to those particular group of investors as they are considered
Act B.E. 2546 18 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board TorThor. 25/2551 Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives
reports in compliance with legal requirements and to incentivize timely payment of the annual registration statement filing fees —have been achieved. In any case, compliance with these requirements is
essences: (1) Requirements regarding the check and balance mechanism and the responsibilities of the ICO issuer's board of directors: the ICO issuer must establish a check and balance mechanism and
their independent directors more stringent than the minimum requirements of the SEC and the Stock Exchange of Thailand. In this regard, the SEC introduced to them the internationally recognized best
Development Master Plan (CMDMP). 3. Net Capital requirements of securities firms Securities companies will be required to maintain additional 7 percent net capital as a cushion for their derivative liabilities