committed to reviewing within 21 calendar days a complete application from fund managers for the authorisation of a fund; and(c) give participating fund managers more flexibility to delegate the investment
of the initiatives undertaken by the ACMF as part of the regional capital market integration plan endorsed by the ASEAN Finance Ministers in 2009.? The Framework enables fund managers operating in a
(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1
issuance and offer for sale of securities and the relevant professionals, for example, appraisers, and financial advisors; 4. Information regarding any action undertaken with the company applying for
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
. Simultaneously, the SEC reported the action undertaken for these two cases to the Anti-Money Laundering Office in order to consider and take further action. In addition, the criminal complaint by the SEC is
place to prevent potential damages from listed company transactions and enhance law enforcement effectiveness by increasing the SEC’s authority in case proceedings."Over the years, the SEC has undertaken