Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

proposal also cover trust related transactions.Meanwhile, minimum capital requirement, reporting requirement and guidelines for the asset management companies being unable to maintain adequate capital are

companies licensed to undertake the said businesses.  In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing

’ businesses, increase their liquidity derived from trading in more than one exchange and access to larger pool of potential investors.This MOU will cover the establishment and functions of the working team

efficiently.  Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed

which are divided into six parts. The summaries of the essence are as follows:          (1)  amends the definition of “Securities” in Section 4 to cover other investment products that have substance like

proposed revisions cover criteria on period for transfer of proceeds from PVD to RMF, submission of documents to management companies, types of RMF available for the transfer of proceeds from PVD, fund

derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category

Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to