consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2695-9935 or email: hiri@sec.or.th. The
Bangkok, May 20, 2011 - The SEC will issue five regulations on establishment and management of infrastructure fund which govern commitment between unitholders and asset management company, details of infrastructure fund project, prospectus, appointment and performance of duty of fund manager and approval of investor contact.Infrastructure fund will become a new investment alternative while private and public sector will have fund source for development of infrastructure which will help ease burd...
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 determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment trust (REIT) or infrastructure fund (IFF) exceeding the specified proportion. As a result,...
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 sufficient information disclosure for shareholders? decision-making. Under the proposal, an application for offshore convertible debenture offerings must be jointly prepared by SEC-approved financial advisor (FA), save for offerings by financial institutions which are also SEC-approved FA. On information d...
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 and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk while classification of assets treated as capital will be more flexible. In this regard, guidelines...
Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing and underwriting of investment units and securities borrowing and lending. This is to ensure...
Bangkok, July 14, 2014 ? The SEC is seeking public comment on the draft regulations to be issued under Section 315/1 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) on payment of bounty and gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency. The proposed regulations provide instructions for giving information and application for bounty or gratuity, consideration on persons filing application for b...
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business