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
to investors the information on such investment. Asset management companies must, additionally, comply with rules governing derivatives investment which include rules on counterparty limit, reserved
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
Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . The amount of fines does not include daily fines starting from the day following the settlement date to the day the
. This time, SEC establishes the regulations concerning related businesses for applicants requesting operating licenses. Such businesses include standards for operating businesses and work systems
Statement.” - Include the following statement in the case of an offer for sale with green shoe option “The issuer or the existing shareholders (as the case may be) shall grant the purchasing right to the
appraisal did not include quality of work and did not have a clearly weighted score for each factor. Consequently, audit staff did not recognise the importance of audit quality. Example 5 : An audit firm did
to incorporate ESG into their business for sustainability and disclose ESG-related activities. To do so, we organise knowledge sharing sessions, provide handbooks and guidelines, and carry out
Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory