Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities
underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
. Under the sandbox regime, ThaiBMA has set up a DLT-based bondholder data storage system, which will allow entities related to issuance and offering of bonds – i.e., investors, issuers, underwriters
, the CMSB approved underwriters to provide service in foreign currency denominated securities, the service of which has previously been provided by brokers and dealers.?With a view to enabling investor
bond issuers? experience sharing. The afternoon session will introduce ?the bond fair 2015? joined by financial advisors, bond underwriters and assets management companies seeking investment in new bond