(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, June 27, 2014 ? The SEC is seeking public comment on revision of public offering rules to impose a barring period on re-filing of application for securities public offerings. Such period
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance
fluctuation.The SEC sought public comments on principle for revision around middle of last year where majority of respondents gave favorable feedback and this time seeks public comments on 4 proposed regulations
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit