? 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
services as permitted under their licenses. In addition, units of ASEAN collective investment scheme (ASEAN CIS) will be added as permissible securities. The consultation paper is available on www.sec.or.th
aims to facilitate private sector?s issuance of new financial products in response to market needs. Under the proposal, the principle-based set of rules enabling a more flexible coverage of various
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to