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
maintain their role as a leading instrument for policy making in the area of corporate governance. The Principles are presented in six different chapters: I) Ensuring the basis for an effective corporate
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
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
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
institution to maintain its reputation with market participants. Stock Exchange of Thailand The Stock Exchange of Thailand (SET) is an independent legal entity whose governance structures are set out in the SEA
, Thailand 2004 was a very challenging year for Thai economy and the capital market. We were faced successively with the adverse impacts of the SARs, the bird flu, and the oil price increases. But despite
experienced employees whose interests are aligned with the vision, objectives and values of the organization; 7 Statement of Intent (2017) Effectively manage resources to maintain financial stability. The