Bangkok--15 Jan--SEC
The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to the business’s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014.
The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2695-9930 or email address at
[email protected] until January 27, 2014.