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
other related rules. The draft amendment, having previously undergone a focus group consultation, aims to remove impractical procedures and enhance consistency of relevant provisions under the principle
Bangkok, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on S...
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the