Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
The SEC has amended the regulations concerning supervision of personnel in capital market businesses by extending the renewal application submission period from September 1st to December 15th each
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
New Products - Debt Market สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Debt Market Debenture [Data will be displayed only 14 days after
New Products - Equity Market สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Equity Market Equity ( 74 record(s) found) Issuer Name/Offer Name
Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated
The afore-mentioned Capital Market Development Plan, acknowledged by the Cabinet on Tuesday, January 31, 2023, consists of the following five strategic directions for continued growth of the capital