notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
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 Department of Business Development, the company registrar in the Ministry of Commerce, both online and offline. Companies also pass on a range of material information to the SEC and SET, which is
International Business from Wharton School, University of Pennsylvania, USA and a Bachelor of Economics (First Class Honors) from Thammasat University. Prior to his current appointments, he was Deputy Commerce
from Syracuse University, USA. Prior to becoming Permanent-Secretary, he was Director-General of the Department of Insurance, Department of Business Economics (currently Department of Trade Negotiations
restructuring of businesses and business stress resolution, promotion of good corporate governance for listed companies and market intermediaries, enhancement of measures to empower investors, support for re
business continuity plans (BCP) in coping with unexpected incidents that may affect their operations. The BCP involves having in place policy guidelines, action plan and regular testing of risk management
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
or conglomerate/business group-related often family owned. In both, interlocking corporate forms can serve to entrench control. State-ownership is prevalent in Asian economies. A number of them have
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid