proprietary trading will also be required to prevent impact on the business operator?s financial condition and reputation. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders
appointment of a financial advisor (FA). The consultation paper is available at: https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1052 and the legal hub at https://law.go.th/ . Stakeholders and Interested
Bangkok, October 31, 2013 ? The SEC is seeking public comment on revising the rules to exempt independent directors? requirement of licensed derivatives advisors and authorized financial institutions
Bangkok, June 21, 2013 ? The SEC is seeking public comment on a draft revision to the rules governing preparation of financial statements, financial reports, and operating results of securities
, infrastructure funds, infrastructure trusts and real estate investment trusts (REIT).The proposed rules would require regular disclosure of the annual registration statement, annual report, financial statements as
Bangkok, May 4, 2016 ? The SEC is seeking public comments on draft rules concerning qualifications of chief financial officers (CFO) and accountants who are the key preparers of financial statements
financial reporting and duty performance of market participants would benefit both fund mobilizers and investors.The proposed rules are expected to take efffect on 1 January 2018.The consultation paper is
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
scopes and forms to be in line with the financial statement forms, which have been revised earlier, and the waiver of duties on preparation and filing of certain forms in case of ceasing business operation