According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without compromising appropriate investor protection and convenience for business operation.The SEC therefore...
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Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway
proposed amendments to such criteria to reduce redundancy and inject flexibility for reporting parties while ensuring that data users receive sufficient information within an appropriate time. Having
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of