derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
repeal of the trading lock-up rules whereby an offer for sale of shares that have been sold at a lower price than the SPO price are prohibited. This is to enhance the SPO process and allow an appropriate
with related parties to improve the supervision.”SEC disseminates the public hearing document on this issue at SEC website: www.sec.or.th/hearing. Any related parties and interested persons are
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
landscape, the SEC has proposed the new rules that will give investors more investing tools in the form of portfolio advisory with execution and program trading while helping intermediaries to improve and
At its meeting No.11/2563 on 19 May 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the CMSB approved in principle of the amendment of rules applicable to funds and trusts which
The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with