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 securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed revisions, the business operators will be required to have in place a sound internal control sys...
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to...
Bangkok, July 15, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing counting unitholders? votes in case of multi-class funds, including retail funds, property funds, and infrastructure funds. The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group of persons; and revising definition of the same group of persons to include controlling persons. Th...
Bangkok, June 12, 2015 ?The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor will be allowed to make investment without individual investment limit, similar to institutional investor, venture capital business, and private equity trust. Qualified /angel investor will be defined with objective to provide more flexibility for investor who is knowledgeable in the business raising...
comments through the website, or facsimile at 0-2263-9999 or email: corgov@sec.or.th. The public hearing ends on February 3, 2016.?
Bangkok, July 22, 2015 ? The SEC is seeking public comment on revisions of rules for calculation and report of net liquid capital calculation. The proposed revisions aim to ensure that the calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to act as the loss buffer. The position risk calculation with respect to general market risk and specific...
Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the transfer of proceeds from PVD to Retirement Mutual Fund (RMF) in preparation for the amendment to law on provident fund. The proposal aims to provide PVD members unable or not intending to maintain their investment in PVD with additional choice for their retirement savings. In addition, equivalent tax benef...
Bangkok, October 6, 2015 ? The SEC is seeking public comment on draft rules governing business operators of investment services to customers in foreign currency denominated products which are offered overseas as well as in Thailand. The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from overseas products seller and issuer.Mr. Pariya Techamuanvivit Director, Corporate Affairs Departmen...
are welcome to submit comments through the website or facsimile at 0-2263-6099 or email address at corgov@sec.or.th. The public hearing ends on October 31, 2015.
outsourcing contract would have to incorporate a BCM plan therein as well.?? The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments