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
Bangkok, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses. The proposed revision aims to facilitate and increase the efficiency of business operations. The consultation paper is available until April 4, 2013.Business operators, securities and derivatives businesses, will be allowed to outsource activities directly relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing poli...
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
the proposed revisions to the Terms and Conditions via the above website. For further details and inquiries, please call the Legal and Regulation Development Department of ThaiBMA at 0-2257-0357 ext
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
Arbitral Procedure Organized by the SEC Office (No. 2)
Bangkok, July 22, 2015 ? The SEC is seeking public comment on revisions of rules for calculation and report of net liquid capital calculation. The proposed revisions aim to ensure that the