categories of Student and General Public) who successfully advanced to the final round of the Capital Market Datathon Project, which attracted 82 participating teams in total. The competition aimed to
Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business and related persons must submit hardcopy documents and also online documents through electronic system, which might cause burden on the private sector and it does not go accordingly with the technological change. SEC then proposes to amend processes related to the takeover regulations such as ca...
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to seek personal gain from the margin of such offering and trading transactions. However, the clients who...
Competition, which featured the Royal Trophy from Her Royal Highness Princess Maha Chakri Sirindhorn. The SEC supported the competition and sent a football team to participate in the event to enhance
’ specific business model under more reasonable costs and without excessive burdens on business operators. Providing more license types also promotes business development and competition in the capital market
In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common regulations determining practices to propose agenda items by shareholders and to solicit proxies from shareholders. SEC, therefore, plans to issue regulations on these matters to promote uniformity in the practices.In a matter of the proposal of agenda items by shareholders under Section 89/28 of the...
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital asset business, and the requirement that any business operator that cannot maintain its net capital...
organizing a unitholders’ meeting or through a letter seeking the unitholders’ resolution. As an alternative, asset management companies are allowed to seek a unitholders’ resolution if the unitholders
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She