capital market and adopt holistic approach to make a clear role for each party. SEC will be responsible for issuing regulations, regulating, enforcing rules and protecting interest of minority shareholders
Foresight and Effective Supervision: To be fully knowledgeable of relevant risks to support effective market supervision, and to enhance supervisory standards in regulating listed companies and commercial
SEC held a seminar under the topic of “Thailand SEC Policy Dialogue 2018: Regulating by Market Forces” on 28 November 2018 at the Grand Hyatt Erawan Hotel, with the objective to stimulate policy
already undertaken and attach a letter from the infrastructure business to be invested by the fund or from the regulating body of that infrastructure business certifying that the business has complied with
infrastructure business has such duty, the management company shall state the procedures already undertaken and attach a letter from the infrastructure business to be invested by the fund or from the regulating
managing of costs. Under the Basel III requirements banks also need to maintain a sufficient level of liquid assets (as measured by the Liquidity Coverage Ratio) to cope with potential cash outflows in the
exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a
/2553 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Securities or Investment Units (No.2) dated 1 February 2010. 3 Clause 4 For the purpose of regulating