SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
investors. Such new regime would promote a market environment conducive to competition in line with the Ease-of-Doing-Business Policy of the public sector. The new regime would also keep the existing
. Essentially, the primary existing regulations on IPOs which have come into force since late 2016 would remain intact, while certain provisions would be added or revised for more efficient supervision. For
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the
Chunhavajira(3) Mr. Rawin BoonyanusasnaThe new governors will commence a three-year term on 5 February 2024. Concurrently, three existing governors to depart upon completion of their term are: (1) Dr. Prasarn
years, while the existing rotation period was 5 years and the existing cooling-off period was 2 years. The revision will be effective from 1 January 2019”. To mitigate impacts at the initial phase of
and accessing the suitability of the person entitled to subscribe the shares for such investment; (d) information of the existing shares to be offered for sale shall be distributed to the persons
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
management and limited brokerage, dealing and underwriting of investment units (LBDU) In revising the annual fee scheme, the SEC has taken into consideration intermediaries? existing cost factor and potential