Bangkok, 12 October 2017 ? The SEC discloses the latest updates on the civil sanction statistics since the means of enforcement became effective on 12 December 2016, with the total of 21 natural and juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division, said: ?During the past 10 months, the SEC has successfully imposed civil sanctions on 21 off...
would be required to ensure that there is a separate securities account for each UBO and register for authentication with the BOT or proceed with any other actions for the BOT’s acknowledgement of the
may consider further extension. If the AGM 2020 agenda contains only matters for acknowledgement, asset management companies and REIT managers may choose to send out such information instead of
trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for three years as from the acknowledgement date of the
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
holdings—most of which are high-quality—at lower than fair value prices, impacting the funds’ value. This rapid decrease in the funds’ value might lead to further sell of other mutual funds and result in
significant rise to the world’s 3rd highest rank with 86 scores, from No. 15 with 75 scores in the preceding year. Such development was a result of the improvement in the Ease of Shareholder Suits Index
Act from stakeholders. The result of the study and the suggestions on that matter is expected to be completed in May 2020.“Then, SEC will promptly proceed with the amendment of the Securities and