Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
/2003 2. Notification of the Securities and Exchange Commission 32/2545 (Synopsis) 28/03/2002 16/04/2002 3. Notification of the Securities and Exchange Commission 47/2540 31/12/1997 31/12/1997 4
, dealing, or underwriting of debt securities and Sukuk – to register as a bondholders’ representative. This is to ensure that the categorization of securities aligns more closely with the roles and
shareholders’ approval, (2) inclusion of financial assistance to the transaction list subject to material transaction rules, (3) repeal of the categorization of related party transactions to subject them to the
Business for Licensed Derivatives Broker (Synopsis) 22/12/2004 16/01/2005 3. Notification of Capital Market Supervisory Board TorThor. 23/2553 Rules for Undertaking Derivatives Business for Licensed
accordance with international standards. This includes (i) calculation of ratio limit, (ii) categorization of fund types to better reflect investment risks based on net exposure instead of investment value
. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) 17/01/2005 01/03/2005 2
Securities and Exchange Commission SorThor. 55/2546 Report Forms of Securities Companies (Synopsis) 26/12/2003 01/01/2004 Report/Form (Notification of Securities and Exchange Commission) Form Bor.Lor.2
Determination of Fees for Undertaking Business According to Licenses (Synopsis) 07/11/2016 01/01/2017 2. Notification of the Securities and Exchange Commission 16/2553 (Synopsis) 01/12/2010 01/01/2011
) (Synopsis) 23/01/2007 16/03/2007 2. Report/Form (Notification of Securities and Exchange Commission) (Synopsis) 23/01/2007 16/03/2007 3. Report/Form (Notification of Securities and Exchange Commission