Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
, dealing, or underwriting of debt securities and Sukuk – to register as a bondholders’ representative. This is to ensure that the categorization of securities aligns more closely with the roles and
shareholders’ approval, (2) inclusion of financial assistance to the transaction list subject to material transaction rules, (3) repeal of the categorization of related party transactions to subject them to the
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
TTCL Public Company Limited TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the
accordance with international standards. This includes (i) calculation of ratio limit, (ii) categorization of fund types to better reflect investment risks based on net exposure instead of investment value
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.