different types of securities offering, to improve clarity and practicality. The notification of the amended regulations has been published in the Government Gazette and will take effect as from 1 July 2023
practicality, securities underwriter is permitted to develop its own suitability test and may attach the test with securities subscription form to client in advance. Existing client who has done the suitability
securities holders and enhance practicality for business sectors which may have difficulties complying with the regulations,? said SEC Secretary-General Thirachai Phuvanatnaranubala. # # #
therefore proposed this revision by considering the aspects of appropriateness and practicality to promote better business standard and flexibility,? said Vorapol.
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
achieve more practicality and be more responsive to current circumstances which can help facilitate private sector?s fund raising in the capital market. Without compromising investor protection, the revised
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
IOSCO members shared perspectives and operating guidelines on critical issues. These included sustainable finance in accordance with disclosure standards, consistent and comparable perspectives and