branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide
According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without compromising appropriate investor protection and convenience for business operation.The SEC therefore...
“Director Pool”, a database for nomination of directors who have appropriate qualifications and skills, which is another initiative that helps enhance women’s exposure to corporate leadership and directorship
ecosystem for digital securities and programmable through the utilization of Distributed Ledger Technology (DLT) and smart contract, which enhance transparency and prevent unfair practices in the capital
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
Contract that is not subject to the Act, BE 2546 derivatives.
Contract That Is Not Subject to the Derivatives Act B.E. 2546 (2003) (No. 3)