has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities

Bangkok, June 21, 2016 ? The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset

and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk

. 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

proposed regulations will no longer limit types of business operators permitted to provide services in foreign currency denominated products; accordingly, all business operators will be able to provide such

calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to

business operations and mitigate undesirable impacts especially    the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational

Bangkok, August 6, 2014 - The SEC, jointly with four leading business schools, organized ?1st SEC Working Papers Forum? where the Faculty of Commerce and Accountancy, Chulalongkorn University

undue burden to the business.  SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on