provide better access to the markets. The introduction of new platform and services inevitably put pressure on traditional business operators to compete with new wave of competitors in financial services
business.? The objectives of the rule-amendment are to promote flexibility and prevent conflict of interest. The proposal has undergone series of discussions with various stakeholders including securities
long information disclosure forms. This idea was well supported from both business operators and investors. SEC is therefore seeking opinions on the draft notification before it becomes into effect
Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have
asset value (NAV) by adjusting the number of investment units to reflect the change in investment unit price- Allowing business operators to be exempted from conducting investors’ suitability tests if
information related to SRI Funds easily and comprehensively. SRI Funds are mutual funds with investment policies that emphasize sustainable business practices in accordance with sustainability-related
งานด้านการประกอบธุรกิจและการการกำกับดูแล (business & compliance) ซึ่งเป็นผลสืบเนื่องจากการประชุมเชิงปฏิบัติการ (workshop) เกี่ยวกับการพิจารณาคำขออนุญาตธุรกิจสินทรัพย์ดิจิทัลร่วมกับผู้ทรงคุณวุฒิจาก
ตราสารหนี้ที่ยั่งยืน (ESG bond) และเน้นย้ำถึงความร่วมมือกับทุกภาคส่วน รวมถึงการร่วมจัดตั้งเครือข่ายเพื่อความยั่งยืนแห่งประเทศไทย (Thailand Responsible Business Network : TRBN) นอกจากนี้ การเปิดเผย