provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
consideration the supervisory costs, industry competitiveness, burdens to intermediaries, and simplified methods of fee calculation. The two draft notifications regarding the aforesaid matter are expected to come
objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase
Bangkok, May 29, 2014 ? The SEC is seeking public comment on 2 draft notifications to facilitate offering of mutual funds set up by Thai investment management companies under the ASEAN Collective
Bangkok, August 21, 2014 ? The SEC is seeking public comment on revised draft regulations on services in investment products denominated foreign currencies to facilitate cross-border investment. The
of the requirement to appoint the independent directors are also provided. The regulations are expected to become effective in January 1, 2015.The draft regulation and consultation paper are available