Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision

securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed

offer for sale of newly issued debt securities*, and 3) bills that are not securities.  To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

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

to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any securities company violates or fails to comply with

subject as prescribe in this Notification in order to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any

– February 2021 3-3 What governance process should be established by the issuer to monitor the achievement of SPTs? The issuer should not only select the relevant KPIs and related SPTs as per sections 1 and 2

. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended

digital assets to facilitate illegal financial transactions, while ensuring regulatory clarity to facilitate legitimate uses of digital assets.?    Pursuant to the Royal Decree, digital assets include