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
prospectus to be clear and concise by taking into account recommendations from industry.The proposed revisions aim to (1) simplify format for information disclosure, (2) facilitate minor amendments to be more
wider range of products and enhance international competitiveness of Thai intermediaries.In drafting the proposed rules, the SEC has taken into consideration the stakeholders? comments and suggestions
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
will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found. The issuers covered under the proposed revision are non-listed
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
). The proposed revisions intend to facilitate and promote the establishment of the said funds by lowering the unit-holding limit of infrastructure asset owners and improving vote-counting methods for
personnel in Thai capital market to better accommodate investors? diverse needs. The proposed revisions cover issues, for example, the approval regime for technical analyst and determination for persons
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
in a new property may be proposed for the unitholders? consideration in concurrent with the proposal for approval of fund conversion. In addition, a property fund would be allowed to issue remedy