Bangkok, June 27, 2014 ? The SEC is seeking public comment on revision of public offering rules to impose a barring period on re-filing of application for securities public offerings. Such period
extension of submission period due to the delay of appraisal report obtained from the appraisal company. In addition, since there are a lot of details, it takes time for the company to review the information
period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
ที่ตอบ : 06/06/2548 คำถาม : บลจ. ซื้อหุ้นในการขาย private placement ซึ่งมีข้อกำหนดเรื่อง holding period ต่อมา บลจ. ได้สั่งขายหุ้นดังกล่าวก่อน
approval before the submission period is expired.
Company Limited. The 180-day period of asset attachment, starting from the date specified in the order, will expire on 1 January 2024.*The wrongdoings subject to the SEC’s criminal complaint in this case
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...