approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary
securities and derivatives is to ensure that both counterparties will carry out their agreed trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house
securities and derivatives is to ensure that both counterparties will carry out their agreed trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount that is greater between net profits and return earnings as the dividend; (2.2) Where the
is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount that is greater between net profits and return earnings as the dividend; (2.2) Where the
benefit of beneficiaries, according to terms set out in a trust instrument. A trustee of an infrastructure trust must hold a license granted by the SEC and be independent from the trust manager