and comprise a large number of affiliates, due to legal or commercial purposes, in order to add flexibility without causing an unreasonable burden on these companies. The main points of the new rules
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...
SEC is proposing to amend the SEA in the part related to the preparation and submission of interim financial statements of listed companies. The amendment would allow SEC to have more flexibility in
tasks. This aims to increase flexibility and business efficiency, as well as to promote the roles of securities business operators (traditional players), thereby strengthening and enhancing the ecosystem
Bangkok, November 21, 2013 ? SEC has reintroduced mobile application ?start-to-invest III?, providing asset allocation feature to assess risks and expected returns, and channel to a variety of
, their welfare benefits, and bring about versatility in terms of increase/decrease of the number of personnel as appropriate. With regard to the services provided by the Service Provider, as the Company’s
, e.g. permission for cross directorship of securities companies, to enable enhancement of their flexibility in business operation in support of structural adjustments. The SEC has also facilitated
To enhance flexibility and accountability of asset management companies in undertaking custodian business, the SEC approved draft revised rules on custodian of private fund. The revisions are as
Secretary-General, delivers keynote speech on "The Importance of Research in Shaping Capital Market Development Policies"Panel Discussion: “Preparing for the Future: Enhancing Competitiveness and Adaptability