SLC shares and gained the illegal profit at the expense of general public. Thai, in particular, aided or abetted the group by gathering and providing related information which is essence to the
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
requested for an extension of deadline to submit the rectified 2014 financial statements, previously set to be submitted by May 27, 2015. The company reasoned that it was in the process of gathering relevant
have reviewed the criteria for licensing application and prevention of conflicts of interest, with involved parties engaging in the whole process. Results of the regulatory review will be completed in
ordinary persons categorized in the institutional investor group to not receive appropriate protection when engaging in Repo transactions with business operators.The SEC is therefore proposing to amend the
, the deductible amount shall be the actual expenses for engaging reviewers and/or consultants, but in any case, shall not exceed 50,000 baht per year.The related notification* was published in the
provision: “(5) borrowing in the name of the mutual fund or creating any encumbrances on the assets of the mutual fund, except entering into derivative or engaging in the transaction in accordance with the
an inaccuracy in gathering or processing data from which the financial statements are prepared and factual misstatement with no doubt (42%), and reclassification for presentation (40%). Incorrect
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made