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

-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets

requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or

Bangkok, August 7, 2013 ? The SEC will organize four rounds of half-day seminars on ?Revised Rules Governing Preparation of Reports under Section 56 and Annual Registration Statement (Form 56-1

and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.  The said actions also caused damages to the company but

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended

revised. In addition, the proposed revisions also cover some items under the capital requirement calculation; for example, account receivables of cash balance account, big lot transaction, foreign currency

custodians for private funds and provident funds, and (2) criteria for transferring private and/or provident funds to mutual funds under management of the same asset management company.The consultation paper