the following clauses in three notifications: (1) Clause 4, Clause 5, Clause 11 and Clause 14 of the Draft Notification of the SEC Office No. Sor Nor. /2564 Re: Details of the Mutual Fund Scheme
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless process is in line with the Capital Market Development Plan in the area of building competitiveness and...
The SEC proposed to amend the regulations relating to annual fee regime for intermediaries to improve equality of fee rate among intermediaries operating the same activities and to ease the burden of intermediaries by revising the period of fee payment. The public hearing on the principles for amending the rules took place from 17 July to 20 August 2019. The proposed amendments have taken into account the public comments gathered from the previous hearing whereby the calculation of the fe...
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital asset business, and the requirement that any business operator that cannot maintain its net capital...
Law Drafting Task Force dated 10 October 2017, presented the Draft Security Interests Act B.E. …. at the 52nd United Nations Commission on International Trade Law (UNCITRAL) Session on 19 July 2019 at
Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
Bangkok, 25 January 2018 ? The SEC is seeking public comments on a draft amendment to the rules governing issuance and offering of derivative warrants (DW) to require additional and continuing
Bangkok, 1 November 2017 ? The SEC is seeking public comments on the draft rules governing initial public offerings (IPOs) to cornerstone investors to create greater opportunity for success of IPOs
and investment communities duly gave comments.This time, SEC makes eight revised draft notifications in accordance with the proposed principal. Regarding the management of property funds and the