that govern trading on its facilities is therefore an important element of the corporate governance framework. What traditionally were called “stock exchanges” today come in a variety of shapes and forms
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
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
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
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
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
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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