? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
, comprising banks, securities companies and asset management companies, could obtain CAC certifications, it will certainly be a strong signal that anti-corruption practices are very important issue to be
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
small units such as individual houses or condominium units.4. Asset appraisal must be made by an asset appraiser determined by SEC.In addition, SEC has improved the flexibility for a smart contract
and auditors play a crucial role in giving investors a rise to signal irregularity in a company through its financial statements. In particular for sizable listed companies and securities companies
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the
), reports on acquisition and disposal of securities (Form 246-2) and tender offer records. Currently, all of the above are ready to serve at www.cgthailand.org. ?The SEC has determined to promote
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client