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Thai SEC Reorganizes Line Of Command

Thai SEC Reorganizes Line Of Command

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC Board approved reorganization of supervisory line, effective from November 1, 2014, as follows: 1. Deputy Secretary-General Chalee Chantanayingyong supervises Prevention and Development Division and Market Intermediaries >>

Thai SEC Elected As A Member Of The IOSCO Board

Thai SEC Elected As A Member Of The IOSCO Board

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC was elected to be a member of International Organization of Securities Commission (IOSCO) Board at the annual meeting of the IOSCO held in Brazil on September 28, 2014 as a representative of the IOSCO Asia-Pacific Regional Committee. >>

Thai SEC Revises Regulations On Foreign Currency Denominated Investment Services

Thai SEC Revises Regulations On Foreign Currency Denominated Investment Services

Vorapol Socatiyanurak, Thailand SEC Secretary-General -Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in products denominated foreign currencies. The revised regulations will >>

Thai SEC Revokes Approval Of Two Securities Investment Consultants

Thai SEC Revokes Approval Of Two Securities Investment Consultants

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Pholwatthanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset Management Co., Ltd., and Surasak Sakrittiron. Following the report >>

Thai SEC Sanctions Five Capital Market Personnel

Thai SEC Sanctions Five Capital Market Personnel

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where Supasit Skontanarak was barred from holding any securities company management positions while his capital market investment consultant status >>

ACMF Launched Framework For The Cross-border Offering Of ASEAN CIS

ACMF Launched Framework For The Cross-border Offering Of ASEAN CIS

Datuk Ranjit Ajit Singh, Chairman, Malaysia Securities Commission -The ASEAN Capital Markets Forum (“ACMF”) announced on 25 August that the ASEAN CIS Framework for cross-border offering of collective investment schemes (“CIS”) is now operational in Malaysia, Singapore and Thailand >>

SEC Seeks Comments On Revised Regulations On Thai Foreign Currency Denominated Investment Services

SEC Seeks Comments On Revised Regulations On Thai Foreign Currency Denominated Investment Services

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC is seeking public comment on revised draft regulations on services in investment products denominated foreign currencies to facilitate cross-border investment. The proposed regulations will no longer limit types of business operators >>

Thai SEC Relaxes Derivatives Investment Of Mutual Fund For AIs

Thai SEC Relaxes Derivatives Investment Of Mutual Fund For AIs

Vorapol Socatiyanurak, Thailand SEC Secretary-General -The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory >>

Thailand SEC Files Complaint Against Former UBS Securities Executive

The SEC has filed a criminal complaint with the Department of Special Investigation against Numkrit Jeraputtiruk, former executive of UBS Securities (Thailand) Limited (UBS), for taking unlawful gains for himself or others at the expense of UBS’s clients. The complaint also alleged six other >>