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
the preparation of the SET and securities business operators for regional market linkage and competition in the international market arena. Within this forward- moving environment, the SEC also made
comprising business operators are set up to review and make decisions on enforcement issues, for example : the disciplinary committee for marketing officers, the committee for auditing standards, the committee
among business operators, investors and the public. At present, it is concluded that the SET will be the core leader and major shareholder in the development company along with providing personnel support
business impacts of crises. The Stock Exchange of Thailand (SET) was preparing its business continuity plan, which shall be submitted to the SEC upon completion. ë Internal Control The SEC places importance
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
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
depositories shall set up a system for management and storage of information concerning their business operation in an efficient, concise, and complete manner, which also allows such information to be compiled
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