, with the objective to transform capital market processes towards 100% digitalization, strengthening market competitiveness and efficiency for sustainable growth. The SEC would like to take this
Earlier, SEC conducted a public hearing on the principle of understanding investment in leasehold funds and funds with revenue sharing agreements and the fund/trust disclosure of investment return. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of investment returns must disclose the internal rate of return (IRR) to give investors information a...
deadline for the submission and publication of the annual financial statements for the period ending 31 December 2019 to 30 April 2020 by allowing securities companies and derivatives business operators
continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
SEC, as the agency responsible for the supervision and development of the Thai capital market, focuses on the development of more options for SMEs and startups to mobilize funds through the capital
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to