SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
GIFT disclosed the board of directors’ resolution and information about various transactions, such as the acquisition of a subsidiary of RS and a business unit of another RS subsidiary, which will be paid for in cash and GIFT newly issued shares. RS will seek a waiver for the mandatory tender offer through the shareholders’ resolution (whitewashing) at the Extraordinary General Shareholders’ Meeting. Additionally, RS will purchase existing GIFT shares from a major shareholder by the name Mr. Sur...
SEC Secretary-General Ruenvadee Suwanmongkol said that while everyone is practicing social distancing to control and mitigate the impacts of the Coronavirus disease (COVID-19), small-and medium-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital technology can be a great help to business fundraising, SEC will host a series of online seminar to sha...
SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general public would face investment difficulties as they received a lot of information but could not analyze and compare a variety of investment products available or were advised to purchase individual products, especially those products for which the investment consultants receive high sales commissions or w...
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the