SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to concl...
business operators to contribute to the society, SEC is going to issue a notification to allow social enterprises, including their shareholders, to make public offerings without prior approval or
. The consultation paper can be found at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to make comments and give suggestions via SEC’s website, or facsimile at 0-2263-6203 or 0
this situation happens.SEC disseminates the public hearing document about this issue at SEC website: www.sec.or.th/hearing. Any related and interested parties are welcome to make comments on the
from the enclosures of shareholders? meeting in order to make careful decision. Shareholders can seek clarification from the company?s executives in the shareholders? meeting day. Those who cannot attend
unable to make respective comparison. IFA, therefore, is unable to conclude that the said price is fair; andDEMCO proposed investment structure as a minority shareholder pertains certain risks in that
to make respective comparison. IFA, therefore, is unable to conclude that the said price is fair; and2. DEMCO proposed investment structure as a minority shareholder pertains certain risks in that
Bangkok, July 5, 2011 - The SEC urges shareholders of Wave Entertainment Plc. (WAVE) to carefully study WAVE?s plan to acquire shares of Thai Solar Energy Co., Ltd. (TSE) before exercising their voting rights, as the transaction is considered connected transaction and a significant asset acquisition. The Audit Committee advised that WAVE should not increase their investment in TSE until the first project has been completed, while Independent Financial Advisor (IFA) indicates that the acquisition...