Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
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
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
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
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
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
update information systems, encourage innovation and promote the use of technology throughout the organization to effectively support and safeguard the continuity of the SEC’s operations. 6. Accountability