and executives are subject additional disclosure only in case of simultanous holding of similar positions at other listed companies. This requirement also applies to independent directors who provide
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
company, asset management company, derivatives business, and financial institution or commercial bank receiving approval to provide services). The SEC proposal also aims at raising significance of
and platinum derivatives providing that they have adequate personnel ready to provide such services to investors,? said SEC Secretary-General Thirachai Phuvanatnaranubala. The SEC will also propose for
proposal aims to provide adequate mechanism to support the upcoming liberalization of securities business and promote new financial products which the business operators may expose to compliance risk
new limited license will allow precious metals business operators to participate in the development of precious metals derivatives and provide investors with access to more varieties of services. In
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
. Additionally, the proposed revisions are expected to provide more flexibility for business operators and enhance cooperation and the exchange of information among relevant market participants both at domestic
by the said issuer or sponsor, respectively.Besides, relaxation of rules is also proposed to allow FA to provide service for securities issuer or sponsor in cases where staff of FA?s investment bank
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules concerning offshore offering of convertible debentures to boost efficiency and provide more accurate, clear and