businesses during the suspension period.SEC reiterates that personnel in capital market businesses must perform duties or provide services with integrity and act in accordance with ethics or professional

derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives

beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The

2020, we launched SEC Bond Check Version 1 to provide investors with more convenient access to important information before making investment decisions. This is part of SEC’s efforts to serve

Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an

to facilitate organization of seminar, preparation of investment manual for dissemination to investors and general public, function as a center for conducting suitability test for investors and provide

Secretary-General said, ?The Capital Market Supervisory Board recently approved the regulations on REIT bond offerings. Expected to become effective soon, the new regulations will provide an alternative

?the SEC introduces ?Guidelines for shareholders? meeting?, a handbook written to provide guidelines on how to cast their votes, identify red flags and ask questions, contributing for shareholders to

to make a comparison of home and Thai laws on shareholder protection, in materiality. In case where the comparison is not feasible, the companies must provide additional shareholder protection measures

Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities