Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients, reporting and disclosure of any actions where conflicts of interest may arise and proprietary s...
The proposed amendments are grouped into six key areas as follows: (1) Digital Capital Market Promotion: updating legal frameworks to fully support electronic processes in the capital market and introducing provisions for Digital Infrastructure Main Operator; (2) Supervision of Securities and Derivatives Business Operators: revising regulations for major shareholders of business operators and adding oversight provisions related to the personnel in securities and derivatives businesses; ...
their study visit. This visit featured a knowledge-sharing session on the SEC’s role in capital market regulation, including asset offering and supervision of equity, bonds, and digital assets. The
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the derivatives exchange with a minimum fee of 2 million baht in place of the existing fee which only prescribes the fixed rate of 2 million baht. Also, agricultural commodity derivatives would be granted an exemption from the calculation to support agricultural commodity business operators. The new fee i...