Bangkok, December 4, 2015 ? The SEC is seeking public comments on a draft revision to the financial statements reporting forms which must be submitted by securities companies and derivatives business
Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...
Bangkok, November 4, 2015 ?The SEC is seeking public comments on a proposed revision to the public offering rules to allow faster and more cost-effective fundraising procedures for listed companies
., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance. The draft revision aims to allow
Bangkok, November 12, 2015 ? The SEC is seeking public comments on a draft amendment to the rules on calculation and reporting of net liquid capital to better reflect the asset values and the changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flex...
Bangkok, November 17, 2015 ? The SEC is seeking public comments on a draft revision to the disclosure of summarized material information (factsheet) on all types of debt securities to provide
Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and executives of the company under Chapter 3/1 of the Securities and Exchange Act B.E. 2535. The proposed rules aim to achieve a better balance between compliance cost for listed firms and benefit of public investors. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are...
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed securities as well as rules on securities borrowing and lending, investment analysis and giving advic...
Bangkok, August 8, 2014 ? The SEC is seeking public comment on revision of secondary listing regulations to be in consistence with dual offering regulations under which foreign companies launch