Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
start-ups with high potential; (3) From traditional services to high-value services that provide more value creation; and (4) From low-skilled to high-skilled labor with knowledge and expertise. 4
managers incorporate sustainability factors in their investment process. Consequently, investors may not be able to compare between mutual funds with similar sustainability mandates and, as a result, may
started and would be completed in the similar time periods. This caused work overload and shortage of skilled workers Q4/2018 and into Q1/2019, resulting on cost overrun. And another reason is a one-time
represents increasing of loss 69 million Baht from Q2/2018’s profit of 7 million Baht. One reason for net loss is because of the work overload and shortage of skilled workers which started in Q1/2019 but with
to establish a cybersecurity system in accordance with the regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is
be able to offer for sale of shares to this type of investor without limitation on offering amount. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are