The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with
level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into
changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
international expertise and reliability, to study the changing landscape, opportunities, challenges and potential impacts on securities businesses including how businesses adapt in response to changes under the
Assistant Secretary-General in 2011.Meanwhile, the SEC Board approved changes in the line of command, effective from October 1, 2014. (see the organization chart: http://www.sec.or.th/EN/AboutUs/Pages
provident funds in response to market development while widening investment asset varieties and in line with international standards. Key proposed changes include introduction of more principle-based eligible
inside information to trade CMO shares along with failure to report the changes of his CMO shareholding and launch a tender offer for CMO shares.With the referral from the Stock Exchange of Thailand, the
. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets