The SEC emphasizes the monitoring of risks related to capital market and the development of digital capital market, covering the areas of supervision, service provision of business operators, and the use of financial services by investors. The SEC is therefore proposing to amend the reporting rules for business operators. Currently, the existing regulations require that business operators prepare and submit a monthly report of aggregated data and update the system each time the reporting f...
now open for public comments. The key points of the draft regulations are as follows: 1) To add more types of knowledge and experience in two areas, namely: 1.1) Environment, Social and
According to the regulations established by the SEC for Thai mutual funds wishing to invest in foreign mutual funds, there is a specific requirement that such foreign mutual funds must be characterized as a collective investment scheme (CIS)*, whose CIS operator is under the supervision of a foreign securities regulator that is an ordinary member of the International Organization of Securities Commissions (IOSCO). This is to ensure that, if necessary, the SEC will be able to exchange info...
public comments on the proposed principles and draft amendments with the key points, as follows: 1. To allow SLBs to specify financial return features that link to the achievement of sustainability-related
from related and interested parties in the drafting of the related notifications, upon which a public hearing is being held. According to the proposed draft notifications, the liquidator of trust
Trust status with the SEC. The SEC is therefore conducting the public hearing on the proposed principles and draft relevant notifications, requiring VC or PE Trust preferring revenue tax exemption to
Due to the reasons that digital assets are created by using blockchain and having unique storage methods, typically in digital wallets, together with recent news highlighted that many overseas DA operators had liquidity problems and risks exposure on their asset keeping, the SEC, on 30 December 2022, had therefore instructed DA operators to provide their clients with information disclosure and risk warnings regarding client asset keeping on their websites and applications.The SEC views that digi...
approval to lessen burdens of the capital market auditor, provided that the knowledge, skills and quality of work are evaluated by SEC on a regular basis.In addition, TDRI has presented the draft proposal
listed in a secondary market must be a public company limited and have investor protection measures under the law (the Public Limited Companies Act, B.E. 2535 (1992)). The draft regulations would relax
long information disclosure forms. This idea was well supported from both business operators and investors. SEC is therefore seeking opinions on the draft notification before it becomes into effect