: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official
Microsoft Word - Arbitration_en_final (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
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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
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are
over investment management companies. The proposed revision also includes the ability for investment management companies to seek unitholders? resolution by holding a meeting for such purpose in addition