Securities or Plain Debt Securities will be streamlined, as long as the Prospectus is prepared in accordance with the ASEAN Disclosure Standards. The Framework requires both Home and Host Authorities?? to
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more
asset value (NAV) by adjusting the number of investment units to reflect the change in investment unit price- Allowing business operators to be exempted from conducting investors’ suitability tests if
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
that company. This is to ensure that REIT receives full benefits from invested assets and that REIT can supervise and control subsidiary companies’ operations to be in compliance with the same rules
. Therefore, SEC has submitted the case for the public attorney to file a lawsuit in the Civil Court in order to impose civil sanction at the total amount of 1,225,071.66 baht. In this regard, Eakarat would be
be subject to pay a civil penalty and compensate for the benefits that should have been received from committing the offenses at the total amount of 558,405 baht, while Usuma and Thitirat would be
period closing date, whichever is earlier. The 81-1 Short-Form must be made through the Stock Exchange of Thailand’s (SET) Electronic Information Transmission System and shall be deemed reporting to the
any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of
management of a fund by increasing from 20% to 100% the proportion of the fund's assets that can be sub-managed by a manager that is not regulated by a signatory.The revised Framework took effect on 23