Both existing businesses that already operate a digital business before the legal enforcement or newcomers who are interested in obtaining licenses as trading centers, brokerage firms or traders
executives of the company under Chapter 3/1 of the Securities and Exchange Act B.E. 2535. The proposed rules aim to achieve a better balance between compliance cost for listed firms and benefit of public
in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
feature CEO keynote addresses on building world class corporations through globalization of capital markets where Mr. Banthoon Lamsam, CEO and President of Kasikornbank, will share with us ?What It Takes to
bonds. This will remove procedures and cut unnecessary costs. Offerings to institutional investors, venture capital firms, private equity firms, as well as their directors and employees, will be able to
public and private sectors including leading IT consulting firms and legal firms. Listed company executives and the interested public are welcome to attend the seminar (free admission) on 31 May 2017, from
Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial
organizations, comprising securities companies, asset management companies, investment unit brokerage firms, investment advisory firms, derivatives business operators, digital asset business operators
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules