Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all securities which come with high application fees and do not answer the need of business operators who...
According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without compromising appropriate investor protection and convenience for business operation.The SEC therefore...
Professions (FAP);?2.? To accommodate the electronic filing (e-filing) system of the Department of Business Promotion, the Ministry of Commerce; ?3.? To reduce burdens and costs of preparing financial
, the Ministry of Commerce; ?3.? To reduce burdens and costs of preparing financial https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6266 SEC public warning of investment solicitation by unauthorized
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in the financial statements reporting forms to reduce burdens and costs of securities companies that are non-public accountable entities (NPAE).In addition, the revised reporting forms would comply
operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements in the financial statements reporting forms to reduce burdens and costs of securities
be clearly specified, members’ savings sufficiency must be notified through post-retirement savings forecast, and standards of regulations and PVD registration must be specified, to reduce private
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