shall not be deemed as “securities”: 1. Bills having the Ministry of Finance as the aval accepter, the payer of the full amount, the aval accepter of the issuer at the full amount or the guarantor of
the bills issued by a company at the full amount not yet redeemed*. The SEC is therefore proposing to amend the regulations concerning offering for sale of bills. The key points of the proposed
companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the
Bureau of Financial-Banking Crimes and Money Laundering, to discuss the developments of the legal proceedings in the case of Stark Corporation Public Company Limited (STARK), and to offer full
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
. The existing approval scheme, on the contrary, requires the issuer to seek approval and file full form of registration statement for every offer which could affect fundraising plan, costs and need of
. ______________________Remark: *Fractional DR means the sending of depository receipts in decimal point without the need to buy them in full unit amount. This, however, excludes the ratio of DR to the underlying securities and
in any particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
that company. This is to ensure that REIT receives full benefits from invested assets and that REIT can supervise and control subsidiary companies’ operations to be in compliance with the same rules