July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
services not exceeding the period specified by law.To accommodate the business undertakings while ensuring that investors obtain appropriate investment advice and information in a timely and efficient manner
reviewed to be more consistent with the current market landscape. This will benefit further development of international cooperation to be more comprehensive and efficient.
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
the economic sector. Thus, FETCO will be able to bring more efficient cooperation with both public and private sectors. Under the proposed law, the structure of the Capital Market Federation of
Bangkok, June 21, 2016 ? The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset
derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and
the types of escrow agents permissible for crowdfunding portals; and 4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent. The consultation