SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to concl...
days (within 14 August 2018) to continue their businesses until an order to cease their businesses is given.As of 14 August 2018, these seven existing businesses seeking operating licenses, in line
provident funds in response to market development while widening investment asset varieties and in line with international standards. Key proposed changes include introduction of more principle-based eligible
Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits
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
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