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

OECD Principles of Corporate Governance as well as the OECD Guidelines on Corporate Govern- ance of State-Owned Enterprises. In addition to being a valuable venue for networking and knowledge-sharing

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

authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance

agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

Bangkok, 20 October 2017 ?  The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create

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

The SEC conducted public hearings on the regulations on the application for approval, the granting of approval for the association, and disclosure of information thereof during April – May 2023