Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, April 4, 2013 ? The SEC will revise the rules determining the proportion of investment unit holdings in retail funds to allow greater dispersion of unit holdings, as well as to ensure no exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed thoroughly to the investing public; thereby limiting chances for a certain person or group o...
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
that an investee company is found to be lacking sustainability qualifications according to the rules governing Thailand ESG Funds, such investee company may remain in the Thailand ESG Fund portfolios as
ensure that they comply with the governing regulations. In this regard, Bitazza clients may contact the company’s client service center. Further inquiries may also be sent to the SEC Complaint Center via
Bangkok, 1 November 2017 ? The SEC is seeking public comments on the draft rules governing initial public offerings (IPOs) to cornerstone investors to create greater opportunity for success of IPOs
trust auditors with an obligation to prepare and disclose the report on unitholding in REITs and infrastructure trusts in accordance with Section 59 which is the same provision governing the
Bangkok, June 7, 2016 ? The SEC is seeking public comments on draft rules governing the conversion of property funds (Type 1) to Real Estate Investment Trusts? (REIT) to make it more practical for
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The