Bangkok, July 23, 2014 ? The SEC will put into effect regulations on depositary receipts (DRs) by the third quarter of this year to provide investors with more investment alternatives. Vorapol
Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed
Bangkok, June 5, 2014 ? The SEC is seeking public comment on revision of rules governing mutual fund prospectus to provide more useful information for investment decision making. Management
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Management, obtained CAC certifications. By the end of this year, all securities and asset management companies are expected to be certified and further details on progress will be disclosed.Apart from
Bangkok, April 18, 2014 ? The SEC is seeking further public comment on revision of asset management company's reporting which was posted for public hearing in late 2013. The revision proposes to
Bangkok, April 18, 2014 ? The SEC is seeking further public comment on revision of asset management company?s reporting which was posted for public hearing in late 2013. The revision proposes to
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules concerning offshore offering of convertible debentures to boost efficiency and provide more accurate, clear and
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers