SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
well as significant events after offering for sale of the aforesaid financial instruments, and would prescribe organization of annual meetings in a similar way as required of listed companies. This is to
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flexible and suitable to the current market trends. This latest draft amendment has already taken into
aims to facilitate private sector?s issuance of new financial products in response to market needs. Under the proposal, the principle-based set of rules enabling a more flexible coverage of various
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
of their salespersons. Moreover, the rule will introduce more convenient tools and channels for investors to obtain better understanding on products being offered to them in order to make well-informed