burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial
because 77% of total share price had already been paid to the prospective seller, the proportion of which was relatively high comparing to the condition generally prescribed in sale contract. Due to its
, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
cross-border offerings of local mutual funds to prospective investors in the region. In the meantime, Thai asset management companies must study relevant rules, enhance relationship with target economies
Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making
consultants will be required to disclose and explain to prospective investors all important information before making investment decision such as terms and conditions, associated risks, effect on investors
integrity of the prospective client was in doubt. Hence, engagements with significant risks, including the fraud risks, could mistakenly be identified as acceptable or tolerable. There were occasionally
business days from the day the corrective action is completed. (3) While carrying out the corrective action, the mutual fund management company shall disclose the information about the action to prospective