intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
be in line with the definitions of the terms prescribed in the Securities Law. The proposed regulations aim to better clarify the terms, prevent unfair trading practices related to digital assets and
deliver securities according to the agreement. These proposed amendments aim to ensure proper protection for ordinary persons in the institutional investor group. The consultation paper is available at
debentures, bills of exchange (B/E) and derivative warrants (DW), allotment to the related persons will be allowed in the similar manner as that to general investors. The revised regulations aim to strike a
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
an investment management business. The amendments aim to prevent the use of the initial public offering channel as a regulatory arbitrage tool. The public hearing on this matter was completed in May
E_1 Legal_FA_2015_12_29-c A CorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2019 Thai economy in 2019 showed decelerating growth at 2.4 percent compared to 4.2 percent in the previous year.The slowdown could be attributed to exports which contracted further due to the stronger Baht and a global economic slowdown. In addition, the investment environment of both the public and private sector remained weak, and private consumption, albeit gro...
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
Organisational structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission
or cease innovations but should study and learn from them closely for the best management of risks, particularly systematic risks. Therefore, consumer protection policy can be set properly and