their business, (2) ensure their business continuity, and (3) better address operational risk.Essentially, the draft amendments would allow intermediaries undertaking asset management business and
discussion and analysis (MD&A), which gives an overview of changes to the company's finanical condition and operating results. ?The SEC's primary duty in considering an IPO filing is to ensure that the issuer
, focuses on the additional objective of the CMDF establishment ? permission for the CMDF to give financial support for the SET as deemed necessary to ensure the bourse's ability to maintain its
of cooperation between three domestic regulatory agencies including the Bank of Thailand, the Office of Insurance Commission, and SEC to ensure efficient regulatory supervision.Other important
equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the
prospectus to ensure that investors would receive sufficient and appropriate information for their decision making without the misunderstanding that a term fund is a cash deposit in a commercial bank and
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in