is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
scheme shall be filed with the SEC via the SEC Office and the SEC shall give recommendation and propose such scheme to the Minister for approval. The scheme shall be prepared with the details and
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
, Compliance costs • Gain/loss access to markets ESG SHOCKS Labor stoppages Product recalls Supply chain disruption Pollution incidents Accounting fraud Executive corruption For Institutional/Investment
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
” means a Thai Management Company or a Hong Kong Management Company that is licensed (Thailand) by the Ministry of Finance upon the recommendation from the SEC or licensed/registered (Hong Kong) by the
, however, bear the constraint which result in the inability to remediate and resolve the findings from the previous inspection cycle. Regarding this matter, theSEC proposes the following recommendation as a
based thereon. This report is for information purposes only and it does not constitutes, or is intended to constitute a policy recommendation or stance by SEC Thailand. Contents o Background o Review of