dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
percent of the votes and another with 20 percent. Five direc- tors need to be elected. without a cumulative voting rule, each shareholder must vote separately for each director. the majority shareholder
. [ Goal 1 ]19 . . . . . . . . In order for the trading mechanisms of debt instruments to evolve with the improvement in information technology, the SEC has embarked upon the project to study the feasibility
, Thailand 2004 was a very challenging year for Thai economy and the capital market. We were faced successively with the adverse impacts of the SARs, the bird flu, and the oil price increases. But despite