Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30, Clause 37
The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee
Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the
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intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
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