achieve sustainable outcomes without imposing undue burdens on regulated persons. Operating under limited resources, the SEC’s approach to regulatory and supporting measures combines intervention and
(“Comply or Explain” basis) on its company’s website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
: Classification of Automobile and Motorcycle Hire Purchase Enterprises as a Business which Contract is Regulated B.E. 2561 (2018) The Notification of the Contract Committee Re: Classification of Automobile and
” which allows for fast track approval from Host Regulator. To contribute collaboration and cooperation amongst ACMF members, the Securities and Exchange Commission Thailand, the Securities Commission
aspires to become “Customers’ Life Platform of Choice”. We will thus work with our partners, both domestic and international, to create ecosystem partnership collaboration under the “KASIKORNBANK and Beyond
- committees, circulation of draft rules for comments, discussion groups and consultative papers. This is to ensure that SEC regulations go through a hearing process and that regulated entities have
, as a regulated financial institution, is awaiting the clarification of the forthcoming Bank of Thailand’s notification in order to perform in compliance with the mandatory guidelines. Corporate
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market