Bangkok, January 20, 2014 ? The SEC is seeking public comment on draft rules on cross-border offering of ASEAN collective investment schemes (ASEAN CIS) to retail investors. When compiled with non-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qu...
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ หัวข้อ “Principle VS Rule ให้หลักไปปรับใช้ กับ ทำตามที่บอกไว้ แบบไหนดีกว่ากัน” ซึ่งเป็นตอนสุดท้าย ภายใต้ธีม “กำกับแบบ
Bangkok, April 17, 2014 ? The SEC requires disclosure of foreign bank branches as issuers of debt securities to focus on information of branches. Meanwhile, both credit ratings of the banks and the
Singapore, 26 August 2016 ? ASEAN audit regulators are in discussions with the World Bank on collaborative efforts to further raising the standard of audit quality in ASEAN. This was a key agenda
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
under the specified scenarios. The regulations are expected to become effective early this year. ?The commercial banks? nationwide branches and the bank-client familiarity contribute to their crucial
Niang ผู้จัดการสายงานการเงิน ความสามารถในการแข่งขัน และนวัตกรรม และนางสาวรัชฎา อนันตวราศิลป์ ผู้เชี่ยวชาญอาวุโส ภาคสภาบันการเงิน ของธนาคารโลก (World Bank) เพื่อหารือถึงความร่วมมือทางเทคนิคระหว่างกันในการ