August 2023, whereby most respondents agreed and gave suggestions on matters such as determination of qualifications of the association applying for approval to ensure that the association has knowledge
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
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
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69 https://www.sec.or.th/EN/Documents/AnnualReport
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create
draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the
matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to
=30&rows=10 31 - 40 of 15,636 results Sort by: Relevance Date (Newest) Date (Oldest) SEC advises the public to be cautious about using services of unlicensed digital asset business operators SEC