Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to specify mutual fund?s NAV based on fair price, none of asset management company has done so owing to th...
SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a
The ASEAN Capital Markets Forum (ACMF) welcomed the progress achieved by the ASEAN Green Bond Standards at its meeting today. Since its launch in November 2017, the ASEAN Green Bond Standards have gained encouraging traction and there have been three issuances from Malaysia and Singapore carrying the ASEAN Green Bond label. The first sovereign sukuk in ASEAN issued by Indonesia is aligned with the ASEAN Green Bond Standards.The progress of the ASEAN Green Bond Standards demonstrates the region's...
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
Maintenance of Capital of Investment Advisors and Derivatives Advisors
Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors
Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors
proposal Agree Disagree Do you agree with imposing an aggregate limit on total investments in ICOs by each retail investor in any 12-month period? Do you agree with setting the above aggregate limit at 3
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital