SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
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
)† Securities business 12 109,759 17 175,868 18 184,070 Asset management business 6 52,974 7 41,383 16 113,202 Unfair securities trading activities 7 2,767,283 24 3,208,750 5 68,069 Securities acquisition for
exchange, over-the counter center, and organizations related to securities businesses ■ Acquisition of securities for business take-overs ■ Prevention of unfair securities trading practices. The Office of
, the acquisition of securities for business takeovers, and the prevention of unfair securities trading practices. Mission and Objectives The SEC sets out its mission to “Develop and Supervise the Thai
products and services in order to lessen their dependency on brokerage fee revenue, and launched a securities business liberalization roadmap to get the industry players started on the preparation for the
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid