Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies. The current rules require both the issuers as well as all affiliates that engage in the main bus...
แบบรับทราบความเสี่ยง (Structure Note)
-equipped in terms of management structure, work systems, particularly an efficient information technology (IT) systems with a penetration test and IT audit, and disclosure of key information to customers
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the
structure management. It has to be flexible in times of economic turmoil and financial costs must be maintained at appropriate level. In addition, the financial policy must be implemented with caution and the
invest in such products should proceed with extra caution since:(1) The product above has not been screened with regard to its qualifications and smart contracts by SEC-approved ICO portals; (2