investment returns before Type B unitholders 12 Increasing Market Confidence Source : https://www.set.or.th/th/about/setsource/insights/article/318-set-boost-supervision Enhancing supervisory process through
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
which the State or an authorized derivatives supervision agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a
companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
the SEC team. On this occasion, SEC Assistant Secretary-General Jomkwan Kongsakul and the SEC team will visit Mr. Claude Marx, Director-General of the Commission de Surveillance du Secteur Financier
, e.g. permission for cross directorship of securities companies, to enable enhancement of their flexibility in business operation in support of structural adjustments. The SEC has also facilitated