Delivery of Notifications and Clarification Notes
Investment in Unit of Real Estate Investment Trust
Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Submission of Daily Status Report
Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 30/03/2022 - 07/04/2022
The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism