their comments on key issues at the 2010 Asian Roundtable annual meeting in Shanghai, China and to provide written comments afterwards. A sec- ond draft of this Report was circulated for further comments
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
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
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
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business
to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person
challenge all of the three arbitrators in the claimant’s selected list because there is a circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC