service presentation, as a resolution to the issue of investment and savings towards the investing public. The regulations also emphasize on the significance of self-supervision for business providers.SEC

limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1.     The process for wealth

businesses development and supervision. The MoU aims at promoting cooperation on development of derivatives businesses, exchange of information on derivatives business operators, trading systems and research

in writing with an approval from the board of directors of the company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking

data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and

://www.sec.or.th/EN/Pages/AboutUs/SEC_krairit.aspx English (United States) SEC pornanong -committee on Consideration of Regulations on Supervision of Business and Market Intermediaries and member of the Sub

on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not

efficiently.  Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed

regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of

company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the