Bangkok, November 10, 2011 ? The Securities and Exchange Commission has passed a resolution at the monthly meeting No. 12/2011 allowing amendment to the regulations governing local and foreign credit
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If
Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance
risk management capacity and lower potential disruption to the overall market in compliance with international standards. Essentially, the amendment would require that the senior management of securities