whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
Thailand. SEC has made the public hearing document available at www.sec.or.th/hearing Related persons and interested parties may express their comments on the SEC website or send comments to e-mail
business on their behalf in order to ensure that the delegation is duly carried out. SEC has made the public hearing document available at www.sec.or.th/hearing. Related persons and interested parties
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
, protection of investors? rights, and/or good governance, and (3) granting the SET Board of Governors the power to allow trading access to non-members of SET, which would enhance SET to have flexibility in its
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
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create
administrative work for the arbitrator. Chapter II Filing of Dispute ________________________ Part I General Provision ________________________ Clause 6. The dispute to be filed by the claimant into the arbitral
conclusion, I wish to express my sincere appreciation to the SEC management and staff who have put in tremendous efforts over the years. I am confident that with everyone’s continued support and commitment