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
disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators. The essences are as follows: (1) DA operators must disclose the risks on their financial condition
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
transitional provisions, to ensure their digital asset business operations before 14 May 2018 and this information will be disclosed on SEC website: www.sec.or.th/digitalasset.SEC Board will assess
problems, and the company’s board of directors should take it into consideration. This is to ensure that an extraordinary shareholders meeting will be arranged without delay
that company. This is to ensure that REIT receives full benefits from invested assets and that REIT can supervise and control subsidiary companies’ operations to be in compliance with the same rules
exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying
service providers for investors to choose from to ensure good quality services that meet their needs, which would subsequently contribute to the capital market development. The draft Ministerial