KorKhor. 5/2551 Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC Regulation concerning Filing, Considering and Making a Decision on the Appeal of the
confidence in service quality? (e.g. firm's SOQM, firm's strategy and governance & leadership, transparency report, firm inspection results, non-compliance with law and regulation and responses to emerging
Business By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister, by the SEC's recommendation, hereby issues regulation as follows: Clause 1 Undertaking of venture
outsource ทำได้สะดวกมากขึ้น โดยยกเลิกการต้องขออนุญาตต่อ ก.ล.ต. ก่อน และสามารถ outsource ได้โดยไม่จำกัดประเภทผู้ให้บริการ อย่างไรก็ดี จะมีการเพิ่มบทบาทของผู้ประกอบธุรกิจในการกำกับดูแลด้วยตนเอง (self-regulation
Stock Exchange of Thailand, after the SEC regulation on cross-border equity offering became effective in 2015. DR is also another financial instrument that has been received with great interest by the
ก.ล.ต. มุ่งมั่นพัฒนาการทำหน้าที่กำกับดูแลเพื่อพัฒนาตลาดทุน (regulation for growth) เพื่อให้สามารถตอบสนองความต้องการของประชาชนและผู้มีส่วนร่วมในตลาดทุนทุกกลุ่มอย่างเหมาะสมนางวรัชญา ศรีมาจันทร์ ผู้
objectives of securities regulation in compliance with international standards. In addition, the SEC may disclose confidential information acquired by powers and duties performed under the Securities and
, who will hear from JC members and industry about opportunities and challenges including on taxation, streamlining of regulation and the opportunities for service providers.New member initiativesThe JC