funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered
SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up confidence for both domestic and foreign investors. For the principle of the revision, the SEC had al...
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and giving advice or information on foreign currency denominated capital market products through Tha...
oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
The public hearing under the regulatory guillotine scheme welcomes comments from the public and stakeholders regarding review and revision to the debt securities regulations. The proposed amendments would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is proposing to review the regulations governing debt securities of all types and related notifications. I...
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...
enhance flexibility and accommodate future changes suitable for the Thai capital market landscape. Over the past years, foreign studies have shown that many foreign capital markets have revised their
จะใช้ back office ที่ดำเนินการโดยบริษัทอื่นหรือร่วมกับบริษัทอื่นเนื่องจากมีบริษัทหลักทรัพย์บางแห่งขอหารือมายังสำนักงานถึงความเป็นไป