review provider to assess each step of the bond offering and issuance is encouraged. This regulatory revision was introduced to align with the SEC’s strategic plan to promote investment and fund raising
The management of two agencies discussed on enhancing cooperation between SEC Thailand and the SECC for capital markets development and supervision. This included encouraging listed companies from
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
accordance with the new CG Code. Participants from more than 250 listed companies were in attendance. SEC Senior Assistant Secretary-General Waratchya Srimachand said that this seminar is intended to help
this situation happens.SEC disseminates the public hearing document about this issue at SEC website: www.sec.or.th/hearing. Any related and interested parties are welcome to make comments on the
process if private fund operators are in debt, SEC has proposed to revise the related regulations so that the investors of the private fund could be protected the assets if this situation happens.SEC
amend its rules to be more flexible without too high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of
amend its rules to be more flexible without high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of fixed
the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as