or modifying. [M] o Inspecting consistently a name list of user for the importance operational system4 and inspecting a name list account of unauthorized user such as the name list account of resigned
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category
proposed granting corporate income tax exemptions to “mutual funds” whose units are subscribed solely by provident funds. In light of this approach, SEC is revising the regulations on establishing mutual
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
of securities to prevent excessive burdens on debt issuers; (3) Revising regulations to be clearer, concise and easy to understand. The consultation paper is available at https://www.sec.or.th/TH
, with the key points as follows: (1) Revising the qualification requirements imposed on applicants for listing on SET and the mai (Market for Alternative Investment) whereby the criteria for considering
asset value (NAV) by adjusting the number of investment units to reflect the change in investment unit price- Allowing business operators to be exempted from conducting investors’ suitability tests if