SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
securities in its possession. The SEC is therefore conducting this public hearing to gather feedback from stakeholders. The key points of the proposed amendments are as follows: (1) To require securities
default, to issue and offer for sale only subordinate bonds, and to require that the names of the bonds be clearly specified to indicate that the issuer is undergoing maturity extension or debt repayment
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a