out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
service for investment in mutual funds; and (5) demonstrate readiness in terms of financial condition, operational systems and human resources.?The new type of selling agents will not only promote
Bangkok, July 24, 2014 ? The SEC launched a new version ?CG Thailand? website www.cgthailand.org , an information center on corporate governance, corporate social responsibility and anti-corruption
, 2013 on their impression in information, activity and service offered by the booths, the ?SEC Investment Academy?, a source of knowledge for new investors, drew most votes for ?The Best Information Booth
consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market
suitability test as well as videos, to create joyful learning experiences. In the future, a variety of activities will be organized including contemporary exhibition on new development in the capital market.
underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
for listed companies.The new rule would benefit listed companies that comply with good corporate governance principles when they plan to conduct a PO, provided that certain stipulated conditions are met
bonds, sukuk and Basel III subordinated bonds. The new factsheet form contains more comprehensive details, organized by topic, including the issuer?s type of business, a summary of financial position, a