also instructed to disclose the clarification to the investors. The SEC has followed up on the case and taken actions under the power and duties vested with the Commission by related laws and
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
, under their management to meet the requirement instead of being subject to immediate dissolution on the closing date of the unitholder register.In addition, the SEC is proposing a waiver of compulsory
? directorship or executive position, SEC Deputy Secretary-General Vasant Thienhom clarified that ?Under the Securities and Exchange Act B.E. 2535, any person against whom the SEC files criminal complaint on the
experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives
holding of mutual funds set up by Thai investment management companies under the ASEAN Collective Investment Schemes (ASEAN CIS), if offered to foreign investors in other ASEAN countries.The consultation
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
Bangkok, May 29, 2014 ? The SEC is seeking public comment on 2 draft notifications to facilitate offering of mutual funds set up by Thai investment management companies under the ASEAN Collective
incorporated companies in Thailand and other ASEAN members, simultaneously or in proximate period, under the ACMF framework. The issuers will be allowed to file with the SEC disclosure documents using ASEAN