Bangkok, March 6, 2014 ? The SEC circulated guidelines for listed companies to disclose information on asset disposal to mutual fund (i.e. property fund, infrastructure fund), or real estate investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are...

Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed  revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and

adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed