Bangkok, April 2, 2013 ? The SEC allows existing mutual funds to offer multiple classes of investment units to investors and allows classification of investment units by currency. SEC Secretary
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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
governors to the Board of the Stock Exchange of Thailand (SET), as follows: (1) Professor Kitipong Urapeepatanapong (existing SET Board governor reappointed for another term) (2) Ms
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
with the added types of license prescribed in the draft Ministerial Regulation. In this regard, financial institutions established under specific laws would be allowed to apply for Type E Securities