PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 desirable to explicitly assess why, and under what circumstances, such delegation is desirable. In addition, the public authority should maintain effective
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
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
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 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
include a number of provisions on the governance of listed companies, giving the SEC clear authority in these areas. The SEC also oversees the Stock Exchange of Thailand (SET). Its Regulations for Listed
for capital raising and mobilization, and become an effective catalyst for sustainable progress and prosperity of the Thai capital market in the years to come. Thailand economic direction is driven by a
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision