Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regul...
Bangkok, April 20,2012 - The SEC will allow offer for sale of ASEAN Collective Investment Scheme ("ASEAN CIS") to non-retail investor in Thailand within first half of 2012. This is under the Implementation Plan for ASEAN Capital Markets Integration in 2015 aiming at facilitating cross-border securities offerings in the region, strengthening potential of ASEAN capital markets and providing more alternatives to non-retail investor in Thailand. In addition, offer for sale of ASEAN CIS to retail i...
Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management and motivation of employee owner in the company. Under the proposed regulation, life-insurance agent entitled to participate in ESOP must have qualifications specified by the Office of Insurance Commission (OIC) as well as register with and obtain license from OIC. To prevent avoidance of regulation...
56-1 and Form 69-1 are expected to become effective for the financial periods ending 31 October 2017 and 1 April 2018, respectively.The consultation paper is available at www.sec.or.th/hearing
hearing in March 2016 on the governing principles, which covered other key issues such as supervision of exchange, restructuring and mechanism of mutual fund supervision. ?This public hearing is another
recommendations gathered from the previous hearings on the governing principles taking place in May and June 2017.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties
earlier collected from the hearing on the guiding principles in January this year. Further revisions were also made to facilitate introduction of diverse investment choices in response to investors? demands
www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2263-6293 or email: thanikul@sec.or.th.The public hearing ends on November 14, 2016.
comments gathered earlier from the hearing on the guiding principles in July this year, and made further revisions to enhance flexibility and appropriateness in practice.Essentially, the rules would revise