, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are
conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during the public hearing on the proposed amendments to the regulations and the concerns raised by ass...
, Thailand (SEC) and the Singapore Exchange (SGX) have signed a Memorandum of Understanding (MOU) to establish a Streamlined Review Framework for the ASEAN Common Prospectus. The Streamlined Review Framework
and Singapore, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of plain debt securities under a debt issuance
platform for bond profile listing whereby investors interested in trading securities must execute transactions on the Thai Bond Market. Interested and well-prepared companies may apply for listing on
our aspiration to become “Customers’ Life Platform of Choice”, meaning the most-preferred platform that can meet customers’ needs in every aspect of their lives, in order to deliver an excellent
unlicensed digital asset business operators activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such