Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients, reporting and disclosure of any actions where conflicts of interest may arise and proprietary s...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เป็นเจ้าภาพจัดการประชุมประจำปี EU-Asia Pacific Forum on Financial Regulation ซึ่งจัดขึ้นเป็นครั้งที่ 5 ในรูปแบบ virtual meeting เป็นครั้ง
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the derivatives exchange with a minimum fee of 2 million baht in place of the existing fee which only prescribes the fixed rate of 2 million baht. Also, agricultural commodity derivatives would be granted an exemption from the calculation to support agricultural commodity business operators. The new fee i...
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance