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
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
ดิจิทัล จากเดิมที่มีการกำหนดแยกเป็นคริปโทเคอร์เรนซีและโทเคนดิจิทัล ให้หมายความถึงคริปโทแอสเซท (crypto asset)** ซึ่งถูกสร้างโดยมีการใช้วิธีการเข้ารหัสในการคุ้มครองข้อมูล (cryptography method) และมีการใช้กลไก
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise