SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
-determined investment scope, and receiving more protection from better quality standard services.The proposed rules are expected to take effect in early 2017. The consultation paper is available at
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
the highest value is 0.03% based on consideration method. Upon the cumulative size with this transaction, the total transaction size is equal to 27.92% therefore the regarded transaction is within the
0.03% based on consideration method. Upon the cumulative size with this transaction, the total transaction size is equal to 27.92% therefore the regarded transaction is within scope of Type 2. The
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service