requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital

regulatory burdens of the securities issuers.  Furthermore, the SEC will also propose business operation guidelines regarding corporate social responsibility and protection for corruption to promote

proposal also cover trust related transactions.Meanwhile, minimum capital requirement, reporting requirement and guidelines for the asset management companies being unable to maintain adequate capital are

Analysis” ร่วมจัดโดย ก.ล.ต. CFA institute และสมาคม ซีเอฟเอ ไทยแลนด์ ให้แก่บุคลากรในธุรกิจตลาดทุนที่เกี่ยวข้องกับการวิเคราะห์การลงทุน ซึ่งมีผู้แทนจาก International Sustainability Standards Board (ISSB) ร่วม

countries on legal and regulatory arrangements, and their respective plans to consider adoption of ISSB Standards. The result of the survey shows encouraging steps by ACMF jurisdictions with existing

of IA;    (2) To designate the Stock Exchange of Thailand (SET), which is recognized by the SEC and acts as the central agency, to define the scope of knowledge and training standards and approve the

standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence