borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
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
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
, professional, business and investor associations opened up active channels to voice concerns, comments and suggestions regarding the issues of impacts on market participants and the capital market at large. Such
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
for bad or doubtful debt. This is in line with the fact that the special purpose vehicle was not set up as profit making entity. 2. Proposed amendment to the Securities and Exchange Act B.E. 2535 (1992
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
Development Committeeé to formulate guidelines to develop the derivatives exchange, establish a development company to set up the exchange as well as manage and monitor the administration of the development
business case for high quality corporate governance. Professional organisations (such as the institutes of account- ants, company secretaries, directors, etc) should step up their efforts to promote better