be considered the undertaking of securities, derivatives, and digital asset businesses without licenses, including the services beyond the scope of granted licenses*, and may be subject to
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
lower amount of such information disclosed in the first filing with the SEC. This could be considered that one of the two directors had lacked qualifications for being independent director. 2. Monitoring
Company is entitled to nominate one (1) director out of three (3) directors of BCB. The transaction size of said acquisition is within the scope of acquisition of assets under the Notification of the
execution.The draft rules would grant a waiver of private fund license and derivatives fund manager license for both services above which would be considered incidental to brokerage. However, the intermediaries
= Value of Transaction / Net Tangible Assets = THB 16,800,000.00 / THB 11,583,788,020.5 = 0.1450% (5) The Characteristics and scope of the interest of the connected persons to enter to the connected