Bangkok, April 23, 2012 ? The SEC urges listed firms to emphasize on clear and complete disclosure of information in documents and reports in preparation for assessment of ASEAN Corporate Governance
registration statement (if any), must emphasize on information of the issuing branches, either short-term or long-term debt securities, to better reflect credit risk.Also, to ensure adequate information for
suggestions gathered from the previous hearing on the principles of the said rules conducted in January. Essentially, the draft rules emphasize the improvement of information disclosure and clearer warning of
on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s
classified as D-SIBs. D-SIBs are required to maintain the additional CET1 of 1 percent of risk weighted assets and the ratio will be gradually phased-in 0.5 percent by January 1, 2019, and 1 percent by January
Printable Format - Laws and Regulations Securities Brokerage Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating
Printable Format - Laws and Regulations Securities Underwriter Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating
) | - |- Others Securities Dealer Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registered
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the