. 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
Bangkok, June 5, 2014 ? The SEC is seeking public comment on revision of rules governing mutual fund prospectus to provide more useful information for investment decision making. Management companies will be required to disclose additional information such as portfolio turnover ratio (PTR), trading costs, and trigger fund. The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments through the website, or facsimile numbe...
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, February 21, 2014 ? The SEC is seeking public comment on revising the regulations concerning independent directors of licensed securities and derivatives business operators. The proposed regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the independent directors at least one fourth of all directors, providing that the independent direct...
Microsoft Word - ¤Ó͸ԺÒ ºÅ2 after hearing print version คําอธิบายประกอบการจัดทํารายงานฐานะทางการเงิน (แบบ บ.ล. 2) สินทรัพย 1. เงินสดและรายการเทียบเทาเงินสด 1.1 เงินสด หมายถึง 1) ธนบัตรและเห
Microsoft Word - hearing-as of 4-06-09_website_.doc สรุปผลการรับฟังความคิดเห็นเรืองการปรับปรุงเกณฑ์การขอความเห็นชอบผู้ตดิต่อกับผู้ลงทุนด้านหลกัทรัพย์และสัญญาซื)อขายล่วงหน้า จากการรับฟังความคิดเห็นจาก