SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
attending the meeting or replying the letter hold at least 33% of the total investment units, and the number of unitholders must be at least 25 or half of the total number of unitholders. Previously, a
Bangkok, June 12, 2015 ?The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor
Bangkok, July 22, 2015 ? The SEC is seeking public comment on revisions of rules for calculation and report of net liquid capital calculation. The proposed revisions aim to ensure that the
Bangkok, July 22, 2016 ? The SEC is seeking the private sector?s and the public?s comments on a proposed revision to the rules governing the dissolution of listed and non-listed funds to enhance
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as
Bangkok, August 21, 2014 ? The SEC is seeking public comment on revised draft regulations on services in investment products denominated foreign currencies to facilitate cross-border investment. The
supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed