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
inspection guideline the "High-Level Principle for Business Continuity" developed by the Joint Forum of the Basel Committee on Banking Supervision (BASEL), the International Organization of Securities
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
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry
the personal data database of the SEC Office; 3.4 Data for verification from the Department of Business Development which will be stored in the personal data database of the SEC Office. 2. Purposes of
have been achieved. The capital market has developed and gone through a major turnaround in support of the country’s economic revival and sustained growth. Such advancement was reflected in the increase
business development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment
business development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment
State Enterprise Policy Office, the Bank of Thailand, the Office of Insurance Commission, Department of Business Development Law enforcement agencies, such as Office of the Attorney General, Economic