requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
) - Electrical Grids & Storage ENG THAI (unofficial) - Agriculture ENG THAI (unofficial) Standards / Principles / Guidelines ASEAN https://www.sec.or.th
securities. SEC has taken measures to enhance the efficiency of the bond market ecosystem and so far has made progresses in certain areas.” To ensure that the policies, directions, goals and key guidelines
related policies or guidelines in accordance with the Notification of the Securities and Exchange Commission concerning Rules in Detail on Establishment of Information Technology System as well as the
business. This also includes requirements related to information security audits and the qualifications of the auditor who must be qualified and independent; (3) Revising the requirements and guidelines in
(NAV) of investment units and the price of the investment units of UI mutual funds to be consistent with the guidelines of mutual funds for retail investors, mutual funds for accredited investors and
enhancing flexibility and resilience in business operation as well as to discuss guidelines for supporting business operation. The meeting’s topics included (1) a study of securities business landscape to