companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors
Ms. Jittikarn Wongkampoo, Director of Corporate Communication Department, the Securities and Exchange Commission (SEC), engaged in a discussion on “Strengthening Collaboration against Scams for a
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the
at least on a quarterly basis;5. Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign ETFs to be in line with those
who have been engaged in the business before the effective date of the notification to comply with the capital requirements by maintaining the initial capital to no less than 5 million baht within two
Given the changing economic and business environments, listed companies are increasingly engaged in more diverse and complex transactions; however, the current rules may not cover – or in some cases
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
2014, the 24 individuals were engaged in the manipulation of MILL shares, which caused the trading activities of the shares to be inconsistent with normal market conditions. In summary, (1) Mr. Sittichai