proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request. Clause 11 This
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
outliving their money. Asset management companies are prompt to provide investment management service for retail investors as well as support them to have better understanding and start investing in mutual
catalyst factor that prompt many of the world’s major trends to come faster, creating both challenges and opportunities for Thailand in several aspects. In this new normal situation, the capital market
welcomed to submit draft documentation for the establishment of Thailand ESG Fund in advance for the SEC’s consideration. This aims to facilitate the companies’ preparation for prompt offering of the Fund
information or transfer money to the accounts of private individuals. For effective reporting, it is recommended to directly notify relevant authorities for prompt and specific solutions of the cases, such
of trust and confidence in the Thai capital market. This goes beyond the SEC having effective supervision, concrete law enforcement, swift detection of abnormalities, and prompt imposition of
the effective date of the Ministerial Regulation as per (1). Any business operator under (1) and (2) intends to undertake investment advisory services shall arrange to have operation system that prompt
trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such provision of services may be deemed the https://www.sec.or.th/EN/Pages/News_Detail.aspx
transactions made in Thai baht through Prompt Pay and Thai QR. Such provision of services may be deemed the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10548 SEC warns BX clients of frauds related to