Bangkok, September 18, 2013 ? The SEC, Department of Business Development, Ministry of Commerce and 10 public and private sectors signed a memorandum of understanding (MOU) to implement the project
system. Remark : In the case where a CB. or FC. applies for registration to be a derivatives business operator in the category of derivatives broker or derivatives dealer shall also demonstrate the
policy, measure and system. Remark: In the case where a CB. or FC. applies for registration to be a derivatives business operator in the category of derivatives broker or derivatives dealer shall also
Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
Professions (FAP);?2.? To accommodate the electronic filing (e-filing) system of the Department of Business Promotion, the Ministry of Commerce; ?3.? To reduce burdens and costs of preparing financial
(OSS) system. On this occasion, she highlighted the SEC’s direction for the development of OSS services – such as the Government Business Services Portal or BizPortal, the Stakeholders Service Portal and