operators in the capital markets who plan to apply fintech must comply as follows: (1) Set a policy on fintech application at board or executives level; (2) Have personnel understand the basic
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives
Requirement Test (SMART) Center at Thammasat University, providing that the result must be within two years from the date of passing the examination. Apart from passing the examination, the application must
information and application for bounty or gratuity, consideration on persons filing application for bounty, procedures for bounty and gratuity payment, proportion of bounty and gratuity and criteria for
Bangkok, June 27, 2014 ? The SEC is seeking public comment on revision of public offering rules to impose a barring period on re-filing of application for securities public offerings. Such period
concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of
Microsoft Word - 4_SEC account 3-%0@ˆ5"ˇ_@˙%5H"ˇA˙%_20211124 - kdraft V2.docx 1 Application for Registration / Change of Information in SEC Account Date: ……………………………….. Attn: Secretary-General The
and exchange. Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1) derivatives business license type Sor-1; (2) derivatives