diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
and financial reports of initial public offering (IPO) and public offering (PO) companies.The proposed rules would require that the CFOs and accountants of the IPO and PO companies maintain thorough
: “As the financial services sector evolves at an unprecedented pace, it is key for regulatory bodies to maintain a constant stream of knowledge exchange to stay abreast of innovation in the sector
would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
Bath 2.50 per share and total amount of Baht 2,750,000 (Two million seven hundred fifty thousand). This acquisition of Associate Company’s additional ordinary shares will be maintain shareholding
submitted to the SEC Office. Clause 4 The intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly
intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly expenses, provided that the expenses are