Bangkok, June 21, 2013 ? The SEC is seeking public comment on a draft revision to the rules governing preparation of financial statements, financial reports, and operating results of securities issuers. The proposed revision intends to simplify the rules and strike a balance between the investors? need for adequate information disclosure with respect to their investment decision and the regulatory burdens of the securities issuers. Furthermore, the SEC will also propose business operation gui...
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
offering approval, disclosure and periodic reporting requirement. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website
facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. 5 Chapter 1: Governance of
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
debt securities issuance and offering and disclosure of foreign bank branches. Disclosure made in registration statement and post-offering periodic reports, such as financial statement and annual
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
, report on offering result and periodic reports must be filed with the SEC after closing period of offerings. In case of private placement, more relaxed regulations will apply.?Debt securities have gained
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
governing the representation of the debt securities holders, as well as where the investors may obtain access to the contract. Indicate whether the issuer is required to make periodic disclosure such as