SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
consultant for three months, which is counted as part of the five-year ban, SEC shall continue to ban her from re-entering the industry for another four years and nine months, starting from 15 January 2020
characteristics**. The SEC has set the period of the ban for one year, starting from 5 September 2018, during which Mr. Thanawat cannot serve as a director or executive of a securities company or a listed company
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the
Chunhavajira(3) Mr. Rawin BoonyanusasnaThe new governors will commence a three-year term on 5 February 2024. Concurrently, three existing governors to depart upon completion of their term are: (1) Dr. Prasarn
years, while the existing rotation period was 5 years and the existing cooling-off period was 2 years. The revision will be effective from 1 January 2019”. To mitigate impacts at the initial phase of
proceeding, starting from 6 October 2016.In this case, the ban was not resulted from a criminal complaint initiated directly by the SEC, but from a criminal charge of the public prosecutor. The SEC had
and accessing the suitability of the person entitled to subscribe the shares for such investment; (d) information of the existing shares to be offered for sale shall be distributed to the persons
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
management and limited brokerage, dealing and underwriting of investment units (LBDU) In revising the annual fee scheme, the SEC has taken into consideration intermediaries? existing cost factor and potential