Asset Regulation: A Peek at Global Movements https://www.sec.or.th/TH/Pages/MarketData/seminar-documents.aspx
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
the development phase of audit regulation, as well as thematic inspections suitable for countries with more established audit oversight programmes.Comments on the goal of 25% reduction: Mr Kenneth Yap
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for