financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
), the Emergency Decree on Digital Asset Businesses B.E.2561 (2018), respectively.The SEC Thailand has been an active ordinary member since 1992 and a signatory to the IOSCO MMoU. As an ordinary member
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
On 24 July 2020, NEWS will hold an extraordinary shareholders’ meeting to seek the shareholders’ approval for the acquisition of ordinary shares of Wealth Ventures, which operates Mercure Hotel
investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be
notes, Thai government debt instruments, other debt instruments and ordinary shares; 2) the guideline for assessing liquidity for fund investment overseas be updated and 3) the scope of application of