SEC has applied the principles for regulatory reform to revising governing mutual fund regulations in order to ensure that these rules are reasonable, practical and less burdensome for the

The regulatory revision on the information disclosure and an issuer’ auditor takes into account the readiness of the capital markets without creating too much burden for stakeholders. Significant issues required to be disclosed are as follows: (1) To additionally disclose directors and executives’ compensation policy, method of determining the compensation packages, structures of each compensation remuneration type, and accrued expense of the latest year’s compensation; (2) To clearly dis...

SEC intends to revise its regulations on information disclosure of green bond offering for those who need to issue and offer green bonds in compliance with international standards. Additional information is required in the filing of debt instrument offering including use of proceeds, process for project evaluation and selection, management of proceeds, and reporting. Appointment of an external review provider to assess each step of the bond offering and issuance is encouraged. This regulat...

Bangkok, 1 March 2019 ?  The SEC is seeking public comments on the proposed rules for data submission to the SEC Office by digital asset business operators and initial coin offering (ICO) portals

The SEC is proposing the rules and procedures under the draft Securities and Exchange Act (SEA) (No…) B.E. …., which has been considered by the National Legislative Council. The draft SEA prescribes

amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors

While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of

The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the