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
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
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to
products and services in order to lessen their dependency on brokerage fee revenue, and launched a securities business liberalization roadmap to get the industry players started on the preparation for the
were honoured to host the first ASEAN Capital Market Forum in which securities regulators agreed to work towards mutual recognition of standards. In November 2004, we signed a Letter of Intent with Hong
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
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
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
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
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry