, 2014 as a representative of the IOSCO Asia-Pacific Regional Committee. SEC Secretary-General Vorapol Socatiyanurak said that this is a great chance for the SEC to contribute more to the work of the
Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has
is to ensure that the Thai people will be able to benefit comprehensively and equitably from the capital market, promoting sustainable financial well-being. In implementing this strategic plan, a
other stakeholders, will play an important role in developing the capital market to become the major driving force for economic growth according to the nation’s economic development policies. As such, the
._____________________________* Pursuant to SECTION 89/25, in auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed
In the absence of such terms and conditions in the trust deed, the Trust for Transactions in Capital Market Act B.E.2550 (2007) stipulates that the resignation, dismissal and appointment of
businesses in case they fail to maintain capital adequacy as required.SEC has proposed a grace period of two years for existing asset management companies and trust managers in operation before the effective
against the Securities Law. The Civil Sanction Committee, comprising Attorney-General as Chairman and capital market experts as members, considers whether a civil sanction is an appropriate legal proceeding