in the international arena and increase investment alternatives for investors of both markets. SEC is therefore proposing to amend the rules on supervision of cross-border fund offerings to
Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the shareholders’ equity in the financial statements for the latest financial year submitted to the SEC. In the case where a company fails to submit the financial statements for the latest financial year but submits other financial statements to the SEC such as the quarterly financial statements that c...
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, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and
supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
majority investors were retail investors, accounting for approximately 81 percent, and HNW accounting for approximately 6 percent. SEC is therefore proposing principles for amending the rules on
On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business
The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current business practices of the private sector. As a result, the regulations concerning the determination of the characteristics of bills issued as securities have been amended. According to the revised characteristics, bills deemed as securities mean: (1) bills of exchange and promissory notes payable or iss...