asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to

diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in

capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for

number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the

and financial reports of initial public offering (IPO) and public offering (PO) companies.The proposed rules would require that the CFOs and accountants of the IPO and PO companies maintain thorough

: “As the financial services sector evolves at an unprecedented pace, it is key for regulatory bodies to maintain a constant stream of knowledge exchange to stay abreast of innovation in the sector

would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is

their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law

diversity of perspectives to generate effective challenge, discussion and objective decision-making. 3.2 Diversity The board should disclose the company’s policy on diversity which should include measurable

1 August 17, 2018 Subject: Capital Increase for Offering for Sale to Specific Investors (Private Placement), Connected Transaction, Amendments to Articles of Association/Objectives of the Company and Determination of the Date of Extraordinary General Meeting of Shareholders No. 1/2018 To: President The Stock Exchange of Thailand Enclosures: 1. Information Memorandum on the Offering of Newly Issued Ordinary Shares to Specific Investors (Private Placement) at the Offering Price with a Discount of...