provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the
trademark at the amount of 70 million baht is higher than the fair value of the business as calculated according to the discounted cash flow method (DCF) by the independent financial advisor at the range of
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective from 11 June 2021 onwards without retrospective effect. Essentially, the Notification prescribes...
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
company's related person is a company that has another related person holding a certain amount of shares, the method for calculating a transaction size is the same as the aforementioned without the need for
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
voting method for director selection. This case is in the judicial consideration process. In addition, on 14 November 2017 the SET announced that IFEC might be liable to delisting because IFEC failed to