notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
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
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
framework is relatively comprehensive, ensuring that shareholder rights and good practice in terms of boards and company disclosure are in place. The SEC and Bank of Thailand (BoT) are active in enforcing
market as a whole and minimize impacts on the rights of involved parties. “Capital market” is an intangible place, made up of stakeholders from securities issuers, investors, intermediaries, securities
market as a whole and minimize impacts on the rights of involved parties. “Capital market” is an intangible place, made up of stakeholders from securities issuers, investors, intermediaries, securities
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
securities business operation, the SEC issued a regulation requiring all securities companies to put in place an information technology risk management plan with database and system backup solut ions and a