notes, Thai government debt instruments, other debt instruments and ordinary shares; 2) the guideline for assessing liquidity for fund investment overseas be updated and 3) the scope of application of
assessing clients’ information; (3) Post-trading service providers, i.e., securities clearing house, securities depository centre, securities registrar, and the newly added derivatives clearing house; (4
instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
techniques for assessing and selecting quality auditors, guidance on communication with the auditors, as well as existing mechanism and tools that can promote effectiveness of audit committees’ duties, with
projects must be prepared and explored with a view to assessing the project?s commercial viability to create proper returns for investors. In this connection, interested authorities are welcomed to discuss
a crowdfunding system; (2) crowdfunding must be conducted through a funding portal approved by SEC and the funding portal must have a system for assessing creditworthiness and risks of debenture
approved, SEC will begin assessing digital token offer of ICO issuers.ICO issuers must be companies established under the Thai legal jurisdiction, with clear business plan and clear rights for digital
. The SEC is therefore conducting a public hearing on the proposed amendments. The major changes to be introduced are as follows: (1) Specifying the process of SEC Office in assessing whether the
of a financial instrument according to its fair value