have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
level – an SEC management level executive serves on the IOD Board – to implementation and financial aid for IOD projects to improve the quality of board of directors and Thai listed companies in line
level – an SEC management level executive serves on the IOD Board – to implementation and financial aid for IOD projects to improve the quality of board of directors and Thai listed companies in line
SHARE : SEC public hearing on draft amendment to approval for paperless filing of mutual funds Friday 8 November 2019 | No. 161 / 2019 Bangkok, 8 November 2019 – The SEC is seeking public comments on a
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
as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription, issuance and settlement of securities, and organization of
enter into contractual agreements that inter alia see continuous trading arrangements, one-off asset transfers, or some form of financial assistance (for example, the provision of a loan to a controlling
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
clients.SEC has drafted a regulations in accordance with the principles from the public hearings, incorporating the suggestions of the business operators. In addition, SEC has revised the criteria for the
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