Bangkok, August 31, 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing determination of licensing fees imposed on securities and derivatives business operators
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
Bangkok, February 21, 2014 ? The SEC is seeking public comment on revising the regulations concerning independent directors of licensed securities and derivatives business operators. The proposed
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC, therefore, suspended {A} from his duty as the approved capital market
operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements
companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
) MarketProfessionals and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business