investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in
Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate Governance, which have been released at the 2015 OECD-Asian Roundtable on Corporate Governance in Bangkok today. Co-hosted by the OECD, the SEC, the Stock Exchange of Thailand (SET) and the Thai Institute of Directors Association (IOD) in partnership with the Government of Japan, the roundtable is a forum f...
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
maintains screening procedures of the qualifications of auditors and the quality of audit work of the auditor who applies for approval in line with international standards. The amended regulations will
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
The Passport is intended to provide significant benefits to investors through more fund choice, while maintaining effective legal and regulatory arrangement for investor protection. It is also intended to strengthen the capacity, expertise and international competitiveness of financial markets and the funds industry in the region.Implementation ProgressThe participating economies have progressed with legal and regulatory requirements in their respective jurisdictions. Japan and Thailand have com...
Bangkok, June 30, 2016 ? The SEC has become one of the first signatories to the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passort (MoC), which prescribes the framework and conditions for public offerings of cross-border mutual funds under the Asia Region Funds Passport (ARFP).Together with the other first participating economies ? namely, the Republic of Korea, Japan, New Zealand and Australia ? Thailand is making preparations for the launch of pa...
help ease procedures for approval and renewal of approval which is expected to result in increasing number of personnel to be sufficient for market demand.The revised regulations require investor contact
notifications have been revised, containing the key amendments as follows: (1) Allowing the foreign issuer to file an application for approval of offer for sale of bonds denominated in Thai baht (baht bonds
Commission No. Kor Jor. 16/2561 Re: Rules, Conditions and Procedures for Granting an Approval to Digital Token Portal Service Provider, dated 3 July 2018 (“Notification No. Kor Jor. 16/2561”) as well as