, for example – sees a large grouping of companies, with in many cases a large dominant entity retaining a disproportionate interest in cash flow when compared to ownership interest. Through the

in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading

The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online

Bangkok, 20 October 2017 ?  The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create

borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its

over investment management companies. The proposed revision also includes the ability for investment management companies to seek unitholders? resolution by holding a meeting for such purpose in addition

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

a pioneer in providing training to directors and through its Corporate Governance Report, introduced one of the first and most successful corporate governance scorecards in an emerging market economy

quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best