Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regul...
The public hearing under the regulatory guillotine scheme welcomes comments from the public and stakeholders regarding review and revision to the debt securities regulations. The proposed amendments would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is proposing to review the regulations governing debt securities of all types and related notifications. I...
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities
underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks
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
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to