Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently
Bangkok, September 13, 2016 ? The SEC is seeking public comments on proposed revisions to the rules on related party transactions (RPT) and material transactions (MT) of property funds, real estate
Bangkok, July 27, 2016 ? The SEC is seeking public comments on the proposed revision to the rules on the issuance and offering for sale of derivative warrants with regard to disclosure and additional
Bangkok, 25 October 2016 ? The SEC is seeking public comments on the draft rules concerning transfer of retirement mutual funds (RMF) and long-term equity funds (LTF) in case of fund dissolution to
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
switching and information disclosure, for instance. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile
performance of PF/DF marketing agents, and (3) the compulsory seeking of clients? consent before disclosing their personal information. The consultation paper is available at www.sec.or.th. Stakeholders and
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
operators, including tracking the reporting of information related to client assets on a daily basis, to ensure that business operators comply with the prescribed rules. In this case, it is advisable that
light of this circumstance, the Capital Market Supervisory Board has passed a resolution approving the proposed amendments to the debt securities offering and disclosure rules. The key points of the draft