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...
The SEC has recently issued a rule revising the definitions of institutional investor, ultra-high net worth investor and high net worth investor* used for investment in financial products under
-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
stability of the high yield bond market as well as offer an alternative for high net worth investors to make investments through professionals instead of investing directly in such instrument.Earlier, on 16
financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
receipts to high net worth investors, except institutional investors, must be done through intermediaries.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The current rules allow high net worth
maturity period prescribed in the disclosure document. Automatic redemption would require pre-specified terms and conditions, and investment would be limited to institutional and ultra-high-net-worth
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