. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

requiring SECC to arrange for a special audit, the SEC, on December 15, 2008, issued another letter to urge the company?s directors and audit committee members to expedite the process in compliance with the

Bangkok, 17 January 2023 – The Securities and Exchange Commission (SEC) has issued regulations requiring digital asset business operators that provide custody of clients’ digital assets to establish

years and 10 million baht within four years, and (3) requiring REIT managers to report the maintenance of capital to the trustees.The consultation paper can be found at https://www.sec.or.th/TH/Pages

reducing the deposit limit in cash or cash equivalent of any specific issuer (single entity limit) from the previous 20 percent to 10 percent, and (2) requiring more disclosure in the fact sheet of

Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who

virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major shareholders

Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major