information is required in the filing of debt instrument offering including use of proceeds, process for project evaluation and selection, management of proceeds, and reporting. Appointment of an external
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
In June 2017, the SEC required EARTH to arrange a special audit on the transactions of the advanced payments for goods and the payment for the right to purchase goods. The EARTH's plan preparer later
, SEC has required business operators which provide services exclusively through online outlets to sell only non-complex investment funds.
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
will allow them to mobilize funds in accordance with their type and size. For example, issuers will not be required to submit documents for SEC’s approval before offerings of shares and convertible
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of