on such technology for customer communication and service regarding securities and derivatives business. The draft regulations would be imposed on both existing and new operating business providers
SEC initiated the regulatory guillotine scheme with the key objectives of streamlining procedures, processes and documents required to be submitted to SEC and revising or repealing the existing
) Act and Royal Enactment ( 16 ) About SEC ( 10 ) Toward International Excellence ( 4 ) Investors ( 2 ) Strategic Plan ( 2 ) Intermediaries ( 1 ) Manual Select ( 1 ) More >> Documents Adobe PDF ( 1,377
) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards