SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
SEC Secretary-General Ruenvadee Suwanmongkol, as a Chairperson of Business Security Law Drafting Task Force under the Prime Minister’s Office Order No. 257/2560 Re: Appointment of Business Security
Section 90 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) which states that no person shall undertake securities business without license. Violator of Section 90 is subject to penalties under
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมด้วยคณะผู้บริหาร เข้าร่วมรับฟังการรายงานผลความยากง่ายในการประกอบธุรกิจ (Doing Business 2020) ณ
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
on Economic, Social and Cultural Rights (ICESCR) and Chairperson of Business and Human Rights (BHR) Working Group; Mr. Boongua Somnuk, Deputy Secretary-General of the National Human Rights
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However