Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling

Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and procedures for settlement of disputes

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

oriented growth companies and to balance any increase in leveraging. The updated G20/OECD Principles of Corporate Governance (the Principles) therefore provide a very timely and tangible contribution to the

corporate governance while promoting awareness and use of the OECD Principles of Corporate Governance as well as the OECD Guidelines on Corporate Govern- ance of State-Owned Enterprises. In addition to being

Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies.    The paperless

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

B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business

drafted for this purpose. Market environment for the trading of debt instruments in 2001 saw steady growth in both the primary and the secondary markets. Even though returns of debt instruments had