-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities
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 Thai Capital Market as an Important Alternative for Fund Mobilization and Investment Achieving Efficiency and Competitiveness for the Thai Capital Market ■ Establishment of Derivatives Market as an
,such as the Stock Exchange of Thailand, Thai Listed Companies Association, Federation of Thai Capital Market Organizations, Association of Securities Companies, Association of Investment Management
Capital Market ● Promotion and Development of Provident Fund ● Promotion of Long-Term Savings ● Unit-linked Life Insurance Policy to Promote Public Investment in the Thai Capital Market ● Revision of Rules
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
Securities brokers, dealers and underwriters ë Derivatives agents/dealers ë Mutual fund/private fund/derivatives management ë Venture capital management ë Securities/derivatives investment advisors ë
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
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