Bangkok, January 20, 2014 ? The SEC is seeking public comment on draft rules on cross-border offering of ASEAN collective investment schemes (ASEAN CIS) to retail investors. When compiled with non-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 Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qu...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
business. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024
for their own benefit or others. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024
Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 38/2024 Dated 13/05/2024
project and the commitment made with the unitholders concerning the Rules on maintaining portfolio duration. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code Settlement Committee
Board. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024
Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024