assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC
to be insufficient for the provision of audit service to listed companies and potential fundraisers in the capital market that are expected to increase upon economic recovery. To address this issue
support of the financial sector development, especially in the next phase where BOT plans to revise the financial sector landscape to be more inclusive. This is to allow financial business operators to
establishment of the Sustainable and Responsible Investing Fund (SRI Fund). The regulations governing such fund are expected for completion within this year. “In addition, the SEC is ready to be the center for
be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the
, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or
benefits received from the commission of the offense shall be submitted to the Ministry of Finance as public revenue. _______________________________Remark: * Black Case No. 1415/2563 and Red Case No
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
Bond, Social Bond, and Sustainability Bond focus on raising capital for sustainable projects, the advantage of SLB for companies is that the proceeds are not limited to specific projects and can be used
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to