. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and giving advice or information on foreign currency denominated capital market products through Tha...
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...
SEC is proposing to amend the SEA in the part related to the preparation and submission of interim financial statements of listed companies. The amendment would allow SEC to have more flexibility in
workplace through human resource unit would achieve a long-lasting knowledge dissemination and management. The first ?FL in Workplace? is now open for 30 participants. The application can be filed until April
Bangkok, 8 March 2019 ? The SEC is seeking public comments on the proposed amendments to the rules related to private fund (PF) management to promote flexibility in consistent with the increasingly
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
with objective to provide more flexibility for investor who is knowledgeable in the business raising fund through equity crowdfunding as well as associated risks. On the business side, the issuers will
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
reasonable to increase the flexibility in submitting the report to be in line with the operation procedures of the business operators, whereby the business operators may request an extension in submitting