Commission (OIC) as well as register with and obtain license from OIC. To prevent avoidance of regulations on public offering of securities, life-insurance company must select ESOP participants by taking into
unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and
differences between indirect investment through property sector fund and direct investment in property fund established and managed in Thailand (Thai property fund). Under the proposed regulations, property
already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA
services by securities intermediaries for investment in capital market products denominated in foreign currency and other related regulations specified in seven notifications.The consultation paper is
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for
, providing that the investment value must not exceed the prescribed proportion. The draft regulations and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested
able to seek approval of bond investment consultant if passing examination on relevant regulations. Furthermore, the persons who seek to apply for or renew the approval of investment consultants are
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014