Currently, the SEC regulates three types of bills, namely: 1) bills that are considered as securities, 2) bills that are considered as securities but under the exemption of regulations regarding offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to revise the definition of bills that are considered as securities as follows: (1) being bills of ex...
on 20 September 2019, which approved the determination of the date of the Extraordinary General Meeting of Shareholders No.1/2019 to be held on 28 November 2019 at 13.00 p.m. at Srinakarin 1 Room, 9th
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
โดยใน DB2019 ประเทศไทยได้คะแนนในหัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission
, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission, strategy, policy and operational plan shall be harmonized with