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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...
The amendments aim to enhance suitability for the risk profile of the foreign issuer and alignment with the changing contexts and landscape of the bond market. In this regard, five relevant
Currently, the existing regulations require that the foreign issuer of baht bonds comply with the approval and disclosure rules in the same manner as other types of bonds. Additionally, to issue and
Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC
Microsoft Word - เอกสาร hearing เกณฑ์ foreign issuer_060809_.doc เอกสารรับฟงความคิดเห็น เร่ือง การปรับปรงุเกณฑการอนุญาตใหบริษัทตางประเทศ เขามาระดมทุนและจดทะเบียนในตลาดหลักทรัพย สํานักงาน สํา
products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses. In addition