B.E. 2546 (2003) prescribes that the form and terms of derivatives contracts to be traded on the derivatives exchange shall be approved in material substance by the SEC Office; therefore, by virtue of
of PVD factsheet and pooled fund data report. The SEC conducted a public hearing to seek stakeholders’ comments and suggestions on this matter during the months of October and November last year
international norms; ▪ Reduces the investible universe but all sectors are investible. 5 SEC Classification : ใชภ้ายใน (Internal) 6 ▪ Step 1: Identify client priorities ▪ Step 2: Publicise clear screening
aspects of non-audit services under consideration and their independence evaluation such as the substance of the issues, the details of any judgments made or discussions held, any safeguards set up to
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
required to disclose information of the fund with material information equivalent to that disclosed by Thai funds to their unitholders. Also, the Hong Kong fund must prepare the factsheet in the format
under this Chapter; (2) In cases where type of administrative sanction applicable to the alleged person is not the authority of the SEC Office, the SEC office shall propose the matter to the