Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
particular person to reduce inappropriate PP offering. The SEC is proposing to amend the PP offering regulations to further enhance efficiency of such offering and maintain sufficient investor protection
Government Gazette since 1 December 2023, officially allowing asset management companies to launch the fund right away. Initially, the SEC has received 22 applications for Thailand ESG Funds establishment
legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means
legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means
right of such legal entity; (9) "parent company" means: (a) a company holding shares of the applicant exceeding fifty percent of the total number of shares with voting right of the applicant; (b) a
survive and to have opportunities for growth in the future, as well as to maintain its status as a listed company on the Stock Exchange so that its securities such as shares and warrants may be traded on