Bangkok, September 8, 2008 ? The SEC has extended until October 15, 2008 its hearing on the draft regulations to be introduced to enable establishment and management of infrastructure funds in the

Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and 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 personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU l...

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under the Deposit Protection Agency Act B.E. 2551. The revision will require securities company or derivatives broker to deposit client?s money with commercial banks or invest in promissory notes and bills of exchange issued by commercial banks having credit rating not lower than investment grade, providin...

submit comments via the SEC website or email: ekarit@sec.or.th and chawin@sec.or.th. The public hearing ends on 27 March 2021. The SEC will also conduct a live talk to gather public opinions on the

comments and suggestions via facsimile at 0-2263-6292 or email at archinee@sec.or.th. The hearing ends on December 30, 2009. # # #

Bangkok, August 20, 2009 ? The SEC is inviting public comments on the revision to the rules specifying the prohibited characteristics of personnel in securities and derivatives businesses. The amendment will involve revision of certain outdated provisions on the prohibited characteristics of personnel in the securities and derivatives businesses that have been in use since 2005 as well as those of directors and executives of issuing companies to ensure appropriateness of professional qualifica...