. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

, 2014 as a representative of the IOSCO Asia-Pacific Regional Committee.  SEC Secretary-General Vorapol Socatiyanurak said that this is a great chance for the SEC to contribute more to the work of the

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

process. Under this process, in order to adjudicate whether a person has committed an offense will depend on the investigation under the authority of the Department of Special Investigation, the filing

for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year.  The consultation paper is available at

businesses and FinTech startups to make the most of financial innovations, but also promote a full-scale digital economy.?The FinTech Draft Act contains four core matters: (1) strengthening the confidence in

Bangkok, 3 November 2017 ? The SEC emphasizes the importance of information disclosure in the registration statement and prospectus so that investors will be able to access complete information

the usage; (3) To additionally disclose information regarding relations between executives and a labor union; (4) To disclose stock trading data and historical prices e.g. stock prices and trading

environment. The DLT  is a new technology that would resolve and diminish any obstacles in businesses, as well as increase the efficiency in mutual fund investment and management, which will be quicker and