Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be allowed to offer the service permissible under their licenses on overseas financial instruments...
Bangkok, June 24, 2013 ? The SEC is seeking public comment on draft revisions to the rules governing establishment and management of infrastructure funds and Real Estate Investment Trusts (REITs). The proposed revisions intend to facilitate and promote the establishment of the said funds by lowering the unit-holding limit of infrastructure asset owners and improving vote-counting methods for seeking unitholders? resolutions. The rules governing debt-liked investment units and the rules on seekin...
Bangkok, July 30, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing derivatives investment of provident funds to increase investment channel and opportunity for provident funds to seek more returns. The amendments are in line with international pension standards and adhere to the principle of assets stability and risk diversification of investment to safeguard provident funds, setting up with the objective for retirement savings, from high risk exposure. This...
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or email address at rangrong@sec.or.th until October 7, 2013...
Bangkok, September 12, 2013 ? The SEC is seeking public comment on draft amendments to the disclosure rules on financial statements of foreign bank branches to emphasize on the branches? financial statements to better reflect ability to repay both short and long term debt securities issued by the branches in Thailand. The consultation paper is available until September 25, 2013.The proposed amendment addressed a concern on legal issues in case where the foreign bank branches in Thailand encounte...
consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market
Bangkok, June 16, 2015 ? The SEC is seeking public comment on the draft regulations to be issued under Section 152 of the Derivatives Act B.E. 2546 (2003) on payment of bounty to the informer. Under the Act, the SEC has the power to give the informer a bounty in the amount up to 30% of the fine, paid by the wrongdoer to the court for commissioning the offences of market manipulation, cornering, dumping or controlling in connection with underlying goods of derivatives contracts and insider tradin...
Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and operating system with a view to applying the same and consistent standards to all types of busine...
paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2263-6308 or email: nattira@sec.or.th. The public hearing