In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
At the meeting on 10 March 2020, the cabinet approved a raft of measures, including allowing investors to receive an additional tax privilege for purchasing investment units in the Super Savings Fund (SSF) which has the policy on investing in listed securities on the local exchanges, called “SSF listed securities”, under the following conditions:(1) Not less than 65% of net asset values are invested in listed securities on the Stock Exchange of Thailand and the Market for Alternative Inv...
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed companies while maintaining audit quality in line with international standards. The essence of...
notifications have been revised, containing the key amendments as follows: (1) Allowing the foreign issuer to file an application for approval of offer for sale of bonds denominated in Thai baht (baht bonds
On 4 January 2024, MORE sent an invitation to the Extraordinary General Shareholder Meeting No. 1/2567 to the shareholders with the agenda concerning the consideration for approval of a registered