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
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
statements to better reflect ability to repay both short and long term debt securities issued by the branches in Thailand. The consultation paper is available until September 25, 2013.The proposed amendment
view that all transactions were inappropriate and suggested SCAN shareholders not ratify the transactions. SCAN shareholders? meeting will be held on August 29, 2011.SCAN proposal for the ratification of
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
personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The
gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency. The proposed regulations provide instructions for giving
January 27, 2014.As the purchase price is higher than the tender offer price, it caused unfair treatment among EIC shareholders. The SEC proposed this matter to the Sub-Committee on Business Takeovers for
underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their
Bangkok, November 17, 2015 ? The SEC is seeking public comments on a draft revision to the disclosure of summarized material information (factsheet) on all types of debt securities to provide