governance framework, including regulatory and listing requirements and business practices, with the objective of maintaining and strengthening its contribution to market integrity and economic performance. As
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93
Offering of Transferable Subscription Right (TSR): Regulations governing the issuance and offering of TSR were revised in accordance with those governing public offering of shares whereas some requirements
offering with SEC. After the offer for sale of insurance capital bond, the issuer is also required to disclose financial information related to capital adequacy requirements to investors regularly.In
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
aims to facilitate private sector?s issuance of new financial products in response to market needs. Under the proposal, the principle-based set of rules enabling a more flexible coverage of various
calculating risks and returns so the users will learn how to allocate the investment to suit their needs. ?Fund Supermart? provides investors with accesses to mutual funds offered by many asset management
Strategy "This collaboration between SEC and the Department of Industrial Promotion is considered a new dimension that will help the SEC understand the real needs, problems and obstacles. And the SEC will