Bangkok, 23 January 2018 ? The SEC is seeking public comments on the proposed amendments to the rules governing disclosure of initial public offering (IPO) information, whereby the issuer would disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visua...
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts: (1) 100 million baht for undertaking securities business with the obligation towards cl...
Currently, the regulations related to provision on Repo grant an exemption or prescribe flexible conditions for business operators that provide services or engage in transactions with institutional investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of the SEC Board to include ordinary person investors in the “institutional investor” category. The...
goals. The portfolio will be adjusted with a view to rebalancing asset allocation to suit investors? age and risk appetite during a lifecycle. For those who are interested, please find additional
reading, and (3) promoting the use of an interactive channel, if appropriate, such as app-based information service to better suit investors? digital lifestyles.The consultation paper is available at
careers and for those who are saving up for long term financial security, as they can choose to invest in different investment policies to suit their risk appetite.________________________
suit for the investment??, ?How should the investor be prepared before investment??; and ?What are the investment options available??, for instance. Also, our guests will receive ?Ask First Kit?, a how
Bangkok, 31 August 2017 ? The SEC is seeking public comments on the draft rules concerning determination of paid-up registered capital of securities and derivatives intermediaries to better suit
the suit filing date until the final payment date. --------------------------------- *SEC news release No. 160/2018, published on 30 November 2018
, and (4) to order him to compensate the SEC for expenses incurred from investigating the offence totaling 110,042 baht plus an interest payment at the rate of 7.5% per year from the suit filing date