-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
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...
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
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
statements by May 27, 2015, the deadline previously determined. The companies were also required to submit their Q1/2015 financial statements urgently. Also, AIE must submit the opinion of audit committee on
statements by May 27, 2015, the deadline previously determined. The companies were also required to submit their Q1/2015 financial statements urgently. Also, AIE must submit the opinion of audit committee on
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to