Rules in Detail on Financial Resource and Risk Management of Securities Clearing Houses
Rules in Detail on Financial Resource and Risk Management of Derivatives Clearing Houses
Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of Intermediaries
Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management
, capital market participants were invited to comment and exchange views on setting up an investor protection fund in the Thai capital market which is considered as laying down infrastructure for making a
Bangkok, 5 June 2017 ? The SEC is seeking public comments on the proposed amendments to the Securities and Exchange Act B.E. 2535 (1992) concerning three important matters: (1) regulatory sandbox, (2
services to keep pace with the changing market landscape. Given such conditions, revisions and modifications of the Securities and Exchange Act B.E. 2535 (1992) were proposed to amend certain provisions
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
sectors to incorporate climate-related risks into their policy, strategic planning and risk management, and follow international standard disclosure guidelines.Donald Chan, Managing Director for Asia
The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and