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The Approval of Personnel in the Capital Market Business
the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flexible and suitable to the current market trends. This latest draft amendment has already taken into
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
Determination regarding Types of Transactions in Capital Market Allowed to Use Form of Trust (No. 3)
Determination of Type of Transactions in Capital Market Eligible for Trust Creation
Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction