Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The
Bangkok, July 27, 2016 ? The SEC is seeking public comments on the proposed revision to the rules on the issuance and offering for sale of derivative warrants with regard to disclosure and additional
Bangkok, July 22, 2016 ? The SEC is seeking the private sector?s and the public?s comments on a proposed revision to the rules governing the dissolution of listed and non-listed funds to enhance
Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding
SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to
Bangkok, July 12, 2012 - The SEC has commenced consultation period until July 24, 2012 on the proposed revisions of rules governing offer for sale of convertible securities, i.e., convertible
Bangkok, 31 August 2017 ? The SEC is seeking public comments on the draft rules concerning determination of paid-up registered capital of securities and derivatives intermediaries to better suit
Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of amendment include creation of preventive mechanism against conflicts of interest, selection of inte...
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as
Bangkok, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and