Bangkok, July 27, 2016 ? The SEC is seeking public comments on the proposed revision to the rules on the issuance and offering for sale of derivative warrants with regard to disclosure and additional underlyings. The key areas of revision are: (1) more detailed disclosure of the criteria for DW price setting to give investors sufficient information for decision making, and (2) permission for foreign stocks and foreign stock index to be DW additional underlyings to increase investors? choices. ...
Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will
Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1 and Form 69-1. The revised forms take into account compliance with the new Corporate Governance Code (CG Code), which was jointly introduced by the SEC and relevant capital market organizations earlier this year.The CG Code offers the boards of directors, as the governing body of listed companies, guid...
) shareholders? meeting pursuant to the SEC's order, and (3) establishment of the Capital Market Development Fund (CMDF). The draft amendments under public consultation can be summarized as follows: (1
Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test
other related rules. The draft amendment, having previously undergone a focus group consultation, aims to remove impractical procedures and enhance consistency of relevant provisions under the principle
Bangkok, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on S...
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their