SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
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
Enterprise Content Management System (ECM) of the SEC Office; Information from action relating to the supervision and inspection of risks related to business operations. The SEC Office receives the following
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
inspection by the SEC Office upon request. Chapter 12 Additional Regulations for Operation of Specific Business __________________ Part 1 Additional Regulations for Operation as a Securities Clearing House
business (Disclosure Date : 09/08/2019) http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=016&CaseYY=2562 Investor Alert : EXP Asset EXP Asset : Unlicensed digital asset business
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