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
Introduction Good corporate governance (CG) is an essential characteristic of listed companies. Having good CG means that the company has efficient, transparent, and auditable management systems that create
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
State Enterprise Policy Office, the Bank of Thailand, the Office of Insurance Commission, Department of Business Development Law enforcement agencies, such as Office of the Attorney General, Economic
business judgment of individual market participants, board members and company officials. What works in one company or for one group of investors may not necessarily be generally applicable to all of
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of
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
Enterprise Content Management System (ECM) of the SEC Office; Information from action relating to the supervision and inspection of risks related to business operations. The SEC Office receives the following
Transactions Given the prevalence of large shareholders and company groups, minority shareholder protection is a key issue. Related party transactions are a common feature of business in Asia. Related entities