The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing policy, measures, criteria, and service provider control system.  Outsourcing however does not discharge

Bangkok, January 21, 2010 ? The SEC is inviting public comment on revision to the rule governing establishment and management of Exchange Traded Funds (ETF) to allow offering of foreign ETFs on the

Bangkok, February 22, 2010 ? The SEC is inviting public comment on a draft revision to the rule governing the filing of registration statement by securities issuers to ensure that investors will have

Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing disclosure requirement of securities issuers in policy and arrangement on anti-corruption

Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing?disclosure requirement of securities issuers in policy and arrangement on anti-corruption

Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing disclosure requirement of securities issuers in policy and arrangement on anti-corruption

?Bangkok, December 11, 2012 ? The SEC is seeking public comment on draft regulations? governing advertisements and marketing campaigns for selling all financial products, particularly mutual funds of securities and derivatives companies. The regulations would contribute to improved standards and appropriate practices, allowing access to important information for investment decision making. Comments and suggestions on the matter are welcome until December 20, 2012Advertisement content and format...

Bangkok, January 20, 2014 ? The SEC is seeking public comment on draft rules on cross-border offering of ASEAN collective investment schemes (ASEAN CIS) to retail investors.  When compiled with non-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qu...

Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...