has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
draft regulation on such technology for customer communication and service regarding securities business and futures contracts. The draft regulations would be imposed on both new and presently operating
asset management companies. Both notifications are to be published in the Royal Gazette.“Asset management companies wishing to establish these SSFs can submit draft applications to SEC consideration in
main driving force has been an increasing awareness among investors, both retail and institutional, of ESG-related matters. Similarly, in Thailand, there are a number of mutual funds with the
appropriateness and consistency with current situations. The two notifications are: (1) Notification of the Office of the Securities and Exchange Commission regarding Reporting of Results of Public Offering
sufficient information disclosure for shareholders? decision-making. Under the proposal, an application for offshore convertible debenture offerings must be jointly prepared by SEC-approved financial advisor
2024 annual compliance reports. In this front, reporting of any non-application or unfinished application of the recommended guidelines shall be accompanied by the explanation of the associated
activities that are limited in time can be structured in real economy as separate time-bound projects. This is especially true for the amber category, where most activities focus on the time-limited movement
Following the tips from various sources to SEC, it has been found that there are several solicitations via social media platforms such as Facebook and YouTube for investment in seven products that
dealers must be granted licenses from the minister and their paid-up capital must be no lower than SEC requirements. Digital assets which will be traded in exchanges are required to follow the listing rule