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the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
transfer of proceeds from PVD to Retirement Mutual Fund (RMF) in preparation for the amendment to law on provident fund. The proposal aims to provide PVD members unable or not intending to maintain their
a business development policy and revising the regulations for the supervision of SEC. The public hearing from the business sector is in furtherance of the first public hearing on 8 May 2019 in
Earlier, Mr. Suphanan acting on behalf of IFEC sent a letter requesting the DBD to reveiw its order denying the registration of Mr. Wiphu Maharakkhaka and Mr. Manusak Deawwanich on IFEC directors’ list and then may exercise the right to appeal such DBD’s decision.According to Section 42 of the Administrative Procedure Act B.E. 2539 (1996), an administrative order shall be effective since the person concerned is notified and shall remain in effect until it is revoked or invalid for other re...
Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also