services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
literacy, while ensuring investor protection. These efforts aim to build financial resilience and financial well-being for the people, especially during their retirement years, in line with the WIW 2023
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
third quarter of 2016.The initial deadline for submitting the special audit report and the amended financial statements was 6 February 2017 before being postponed to 8 March 2017.However, KC has requested
in the Thai capital market under certain limitations and clearly defined conditions. In this regard, the SEC Board would have the power to exempt businesses with certain characteristics from being
, under their management to meet the requirement instead of being subject to immediate dissolution on the closing date of the unitholder register.In addition, the SEC is proposing a waiver of compulsory
company’s compliance with the terms and conditions regarding the maintenance of the debt-to-equity ratio at the end of the quarter or at the end of the fiscal year without being deemed a cause of default
performance, for example, cross-shareholding, having the same directors, and the underwriter or the financial advisor being the creditor to the issuer, etc.The SEC, therefore, is proposing draft