translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
Section 8, Section 54, Section 55, Section 56 and Section 57 of the Trust for Transactions in Capital Market Act B.E. 2550 (2007) which contain certain provisions relating to the restriction of rights and
plan, which focuses on elevating the agency to become a center for the prevention of investment scams in the capital market (Anti-Investment Scam Center). The SEC provides services to the public
On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC