. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF
flexibility and clarity. The revisions include, for instance, allowing issuance of structured notes denominated in Thai and foreign currencies; harmonizing issuers? types and qualifications both in public
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market
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
Bangkok, May 10, 2011 ? The SEC is inviting the investing public to visit SEC Investment Mart at Money Expo 2011 which will run from May 12 to 15. SEC highlights include the latest investment trends