-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets
Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing disclosure requirement of securities issuers in policy and arrangement on anti-corruption
Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing?disclosure requirement of securities issuers in policy and arrangement on anti-corruption
?Bangkok, December 11, 2012 ? The SEC is seeking public comment on draft regulations? governing advertisements and marketing campaigns for selling all financial products, particularly mutual funds of securities and derivatives companies. The regulations would contribute to improved standards and appropriate practices, allowing access to important information for investment decision making. Comments and suggestions on the matter are welcome until December 20, 2012Advertisement content and format...
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
Bangkok, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses. The proposed revision aims to facilitate and increase the
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...