For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...

The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management

? meeting will be held on July 8, 2011.WAVE plans to acquire capital increase shares in TSE to maintain its 10 percent shareholding or may increase its holdings up to 35 percent, at a price of B10 per share

?s offering of its newly issued ordinary shares to AM, an enter into the Business Assistant Agreement between the company and AM, and GJS share acquisition. As the aforesaid transactions are deemed the

SEC Thailand has organized an online training session on the topic, “The Supervision on Infrastructure Fund” to share knowledge related to supervision on infrastructure funds in Thailand with capital

market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the

Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in

Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of

manipulating the share price of Focus Development and Construction Plc. (FOCUS). An SEC investigation on the trading of FOCUS shares during October 5-29, 2004, right after the securities got listed on the

under the business undertaking according to the Derivatives Act B.E. 2546 (2003) and are therefore not under the SEC?s supervision. The clarification came out from the discussion held with the Gold