and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
become effective from 1 May 2021.”The SEC has issued a circular to auditors to provide explanation and guidance on the amendments to the requirements for applying for approval and maintaining status as
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of