securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty
B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty
mutual fund management: Asset management company (AMC) shall have fiduciary duty to protect the interest of unitholders. In so doing, AMC shall lay out a policy for preventing and monitoring any act that
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC