Bangkok, May 30, 2014 ? The SEC is seeking public comment on revision of rules governing advertisement of all capital market products for more clarity and practicality. The revisions also address
Bangkok, September 20, 2016 ? The SEC has amended the rules governing the advertisement and disclosure of information on trigger funds to facilitate investors? thorough understanding of the key
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
On 15 August 2023, the SEC Board Meeting No. 12/2566 approved the proposed amendment to such advertisement regulations. The SEC is therefore inviting the public and the business sector to comment on
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective https://www.sec.or.th/EN/Pages