SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
-determined investment scope, and receiving more protection from better quality standard services.The proposed rules are expected to take effect in early 2017. The consultation paper is available at
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used
corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated
decision. ?The Basel III tier 2 instruments? complexity and associated risks are different from those of plain debt securities because the holders will be forced to convert them into common shares if the
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in
qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit to the SEC and publicly disclose the rectified and audited/reviewed financial statements urgently. The