The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
report for CFOs, audit committees, and financial analysts and also to get them ready for a subsequent seminar called “the UK experience on implementing the enhanced auditor reporting”, held in January 2016
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
of the Law which prohibits any directors, managers, or responsible officers of digital asset business operator to obtain any unlawful benefits for themselves or others at the expense of the business
appoints a new guarantor by obtain special resolution of the unitholders ; (1.2) The mutual fund management company reserved the rights in the scheme to dissolve the guaranteed fund or to withdraw the
guideline and description about the risk factors and the criteria to risk scoring. This will encourage the assessor to better document the conclusion of risk assessment procedure and will also standardize the
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain