Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regul...
Bangkok, April 20,2012 - The SEC will allow offer for sale of ASEAN Collective Investment Scheme ("ASEAN CIS") to non-retail investor in Thailand within first half of 2012. This is under the Implementation Plan for ASEAN Capital Markets Integration in 2015 aiming at facilitating cross-border securities offerings in the region, strengthening potential of ASEAN capital markets and providing more alternatives to non-retail investor in Thailand. In addition, offer for sale of ASEAN CIS to retail i...
Bangkok, April 17, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the Capital Market Supervisory Board has approved revision on regulations to allow retail investor to make overseas investment in derivatives traded on foreign derivatives exchange without limiting investment objective, providing that the investment must be made through securities company. The revised regulations aim to provide investors with more variety of investment alternatives and increase experiences in over...
Bangkok, July 12, 2012 - The SEC has commenced consultation period until July 24, 2012 on the proposed revisions of rules governing offer for sale of convertible securities, i.e., convertible
Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective from 11 June 2021 onwards without retrospective effect. Essentially, the Notification prescribes...
Bangkok, April 4, 2012 ? The SEC is seeking public comment on draft regulation governing unrated bonds and high yield bond mutual funds offered to non-retail investors. The revision aims to
Bangkok, August 7, 2013 ? The SEC will organize four rounds of half-day seminars on ?Revised Rules Governing Preparation of Reports under Section 56 and Annual Registration Statement (Form 56-1