approval of juristic persons as marketing representatives of private funds and standards of conduct. In appointing a juristic person as representative for sale or acceptance of redemption of investment units
facilitate the private sector. The revised rules are expected to become effective soon.With a view to increasing the variety of investment choices, underlying securities for DW will be expanded from the
provisions related to the offering for sale of bills in a private placement (PP10) as it is no longer determined as an offering for sale of bills deemed as securities* pursuant to the regulations on
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund
the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund management
of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by
Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by the