Bangkok, August 14, 2008 ? Discussion in the latest quarterly meeting between the SEC and the Association of Investment Management Companies (AIMC) focused on the industry?s efforts to introduce new financial instruments for investor?s choice. SEC Secretary-General Thirachai Phuvanatnaranubala said: ?We discussed potential approaches to make fund investment more attractive and better responsive to different needs of investors.? The meeting has agreed on the following:1. Mutual funds, private fu...
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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
existing legal framework, be addressed to accommodate further development: 1. Enforcement Power: The SEC should have the authority to use civil proceedings to enhance the effectiveness of its legal
strategic plan was set out with emphasis on 4 major goals. First is to facilitate market accessibility for fund raisers with variety of alternatives and at a lower cost. At the same time, to offer quality
and listing of foreign securities ? To increase product variety and investment alternatives for local investors as well as promote the Thai capital market?s role in the region, the SEC Board approved in