Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both

for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper

Bangkok, June 12, 2015 ?The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor will be allowed to make investment without individual investment limit, similar to institutional investor, venture capital business, and private equity trust. Qualified /angel investor will be defined with objective to provide more flexibility for investor who is knowledgeable in the business raising...

Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the transfer of proceeds from PVD to Retirement Mutual Fund (RMF) in preparation for the amendment to law on provident fund. The proposal aims to provide PVD members unable or not intending to maintain their investment in PVD with additional choice for their retirement savings. In addition, equivalent tax benef...

Bangkok, October 15, 2015 ? The SEC is seeking public comments on the proposed revision to the tender offer rules concerning shareholders? approval (whitewash resolution) for business takeover and

Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015.  The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...

Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management

trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a