Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
products to meet clients’ requirements, the demand of the products therefore continuously increased, especially power tools which are generally used in construction or home renovation. However, sales of
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
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Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology