SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital market. In order to do this, the Thai capital market must rely on the driving force of the intermediary business operators in driving and strengthening the capital market to become an effective vehicle of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary...
Bangkok, June 25, 2012 ? The SEC Board and the Capital Market Supervisory Board resolved to specify types of accredited investors (AI) and allow an offer for sale of the following products to AI: (1) unrated bonds and (2) non-retail mutual funds that invest in unrated or non-investment grade debt instruments without limit on the investment proportion. The resolutions aim to provide those seeking to raise funds with more opportunities and alternatives in issuing financial instruments. At the same...
in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to
Bangkok, September 23, 2013 ? The SEC is now seeking public comment on introducing an approval regime for technical analyst and the revisions of qualifications of investment analysts and investment
Bangkok, June 14, 2013 ? The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving
. 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
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
, at this stage, the SEC proposes to create an ICO regime only for the newly defined “investment participation” as an initial experimentation. Using ICO process with other types of securities will