Bangkok, 23 January 2018 ? The SEC is seeking public comments on the proposed amendments to the rules governing disclosure of initial public offering (IPO) information, whereby the issuer would disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visua...
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts: (1) 100 million baht for undertaking securities business with the obligation towards cl...
Currently, the regulations related to provision on Repo grant an exemption or prescribe flexible conditions for business operators that provide services or engage in transactions with institutional investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of the SEC Board to include ordinary person investors in the “institutional investor” category. The...
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