choose the persons to operate a business on their behalf in a more flexible manner, whereby the business operators will be able to delegate other persons in respect of work related to the business
and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business
>> Sitemap Law and Regulations ( 130 ) Financial Report ( 97 ) About SEC ( 54 ) Act and Royal Enactment ( 29 ) Budget ( 24 ) Manual Select ( 22 ) Market Data ( 21 ) Intermediaries ( 11 ) Enforcement ( 10
>> Sitemap Law and Regulations ( 125 ) Financial Report ( 93 ) About SEC ( 50 ) Act and Royal Enactment ( 24 ) Budget ( 19 ) Manual Select ( 17 ) Market Data ( 17 ) Intermediaries ( 7 ) Strategic Plan ( 6
and Regulations ( 151 ) Act and Royal Enactment ( 26 ) About SEC ( 23 ) Budget ( 21 ) Manual Select ( 10 ) Enforcement ( 9 ) Strategic Plan ( 8 ) investor ( 7 ) Market Data ( 5 ) Intermediaries ( 4