and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
that greater flexibility in fund management, together with clearer disclosure requirements, would be appropriate and consistent with the evolving operational context of mutual funds. Accordingly, the SEC
rating within the timeframe prescribed by the SEC. Accordingly, the SEC has proposed amendments to the relevant requirements applicable to foreign entities offering Baht Bonds or FX Bonds, as well as
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business op...
Under SEC’s proposed disclosure requirements, funds that invest in leasehold rights of real estates or in future revenue sharing contracts of infrastructure projects (leasehold funds) are required