While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts: (1) 100 million baht for undertaking securities business with the obligation towards cl...
mutual funds under management of the same asset management company only up to two tiers for general mutual funds may not be flexible enough. The SEC has therefore revised the governing rules in this
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board
stages of the outbreak of COVID 19, the Company formed a central committee to monitor and manage risks, as well as establishing working committees for all subsidiaries. These committees closely monitor and
, identification of quality risks, assessment of quality risk levels, and identification of relevant responses to reduce the identified quality risk levels? 1.1 Does the audit firm completely identify minimum
wind farms and solar and hydropower plants, to rail transport and building sea walls in cities threatened by rising sea levels. Only a small portion of these bonds have been labelled as green or climate
SEC with three tiers of authority : The SEC Board primarily responsible for policy formulation for market promotion and development ; the Capital Market Supervisory Board issuing rules and regulations
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
offering information of each class of bonds, types of offering, risk levels, fact sheets, and relevant reports etc., to enable convenient access of the public and interested parties. The information can be
. This may give further guidance to Green Bond issuers as to what may be considered green and eligible by investors. These taxonomies are currently at various stages of development. Issuers and other