Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
December 2024 remains a business day for securities companies and derivatives business operators. This adjustment aligns with the holiday schedule of financial institutions and prevents undue cost burdens on
responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
considered it appropriate to designate 12 April 2024 as an additional special holiday for securities companies and derivatives business operators. This decision aligns with the Cabinet’s resolution and the