Work System, Contact with Investors and General Business Operation of Trustees
Following the earlier public hearing in late March, where the majority of business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
activities in the capital market from pre-trading to post-trading. Thus, business operators possessing useful innovations for investors will have the opportunity to participate in a regulatory sandbox in a
the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
Bangkok, June 5, 2013 ? The SEC revised rules on outsourcing in securities and derivatives businesses to enhance flexibility and efficiency of business operators. The revised rules will become