Currently, the SEC regulates three types of bills, namely: 1) bills that are considered as securities, 2) bills that are considered as securities but under the exemption of regulations regarding offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to revise the definition of bills that are considered as securities as follows: (1) being bills of ex...
Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the
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
Bangkok, August 31, 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing determination of licensing fees imposed on securities and derivatives business operators
conflicts of interest that may arise additionally.The proposed amendment contains several key points of change, including (1) determination of additional related persons in considering appointment of asset
related to digital assets and securities. The two related draft notifications are: (1) the Notification concerning Determination of the Definition of “Executive” in Compliance with the Emergency
. ____________________________________ * Pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 April
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
wording in the Notification related to the Issuance and Offering for Sale of Securities of SMEs in consistent with the investor definitions under the Notification on Determination of Definitions of
establishing a clear timeframe for improved progress of the cooperation program. In this regard , The Management of SEC Thailand also expressed the good will to pay the courtesy visit to His Excellency Mr. Sou