Bangkok, February 26, 2014 ? The SEC is seeking public comment on proposed rule on the classification of mutual funds based on net exposure. The classification will be used for fund performance
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
, dealing, or underwriting of debt securities and Sukuk – to register as a bondholders’ representative. This is to ensure that the categorization of securities aligns more closely with the roles and
shareholders’ approval, (2) inclusion of financial assistance to the transaction list subject to material transaction rules, (3) repeal of the categorization of related party transactions to subject them to the
be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall
cash, things or services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary’s resources for wrongful action or support
accordance with international standards. This includes (i) calculation of ratio limit, (ii) categorization of fund types to better reflect investment risks based on net exposure instead of investment value
The SEC has received excellent results in the CRMS Assessment for the year 2023 from the PACC* in the areas of approval related operation, which demonstrated the SEC’s commitment to driving and