of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except that the intermediary which is
particular person or persons. The revised rules are expected to become effective by August this year. Rapee Sucharitakul, SEC Secretary-General said that recently equity private placement deals of listed
debentures, bills of exchange (B/E) and derivative warrants (DW), allotment to the related persons will be allowed in the similar manner as that to general investors. The revised regulations aim to strike a
Bangkok, November 14, 2014 ? The SEC revised the criteria for Turnover List preparation to better reflect current market environment. On December 4, 2014, the first Turnover List prepared under the
mutual funds under management of the same asset management company only up to two tiers for general mutual funds may not be flexible enough. The SEC has therefore revised the governing rules in this
(2018-2037). In this regard, the SEC has revised the SMEs share offering rules to provide SMEs with wider choices of fundraising channels, including share offering to the issuer’s group of companies
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
underwriting will also be revised in responsive to current circumstances. The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments