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 increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three public hearings from the third quarter of 2017 to the second quarter of 2018 and has included...
as follows: Open: Willingness to actively listen and have a constructive dialogue to understand the needs, limitations and opportunities of all relevant parties to achieve mutual understanding and
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
companies and to strengthen the clearing and settlement system, which are extremely important to the capital marketûs integrity. In this regard, the SEC will cooperate with the Association of the Securities
training and be registered with the SEC and the remodeling of the role of the Shareholders Association. In this year, the SEC has also sought to enforce all its rules and regulations with vigor and fairness
Commissions (IOSCO) and the International Association of Insurance Supervisors (IAIS). This was to ensure efficiency and continuity of market operations, including a timely recovery to normal operations in the
Figure 3: Government Bond Yield Curve Dec 30, 2005, Jun 30, 2006 and Dec 29, 2006 Dec 30, 05 Dec 29, 06 Jun 30, 06 Source: Thai Bond Market Association After the announcement of the BOT's reserve
อาจารย์ประจำคณะพาณิชยศาสตร์และการบัญชีจุฬาลงกรณ์มหาวิทยาลัย บรรยายเรื่อง “ Digital Economy และ https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=8613 SEC and Thai Digital Asset Association in
อาจารย์ประจำคณะพาณิชยศาสตร์และการบัญชีจุฬาลงกรณ์มหาวิทยาลัย บรรยายเรื่อง “ Digital Economy และ https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=8613 SEC and Thai Digital Asset Association in
: Relevance Date (Newest) Date (Oldest) SEC and Thai Digital Asset Association in collaborative discussion to strategize digital asset advancement and oversight The Securities and Exchange Commission (SEC), led