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

is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate.  The draft notification also allows business operators to

procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is

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

authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance

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

governmental agencies for the development of financial products and services, and supporting voluntary disclosure of anonymized data by the public and private sectors. The FinTech Act is expected to benefit the

of electronic trading platform for the trading of debt instruments and to define it as another type of securities businesses. The study is still going on and relevant rules and regulations are being

of the Bank of Thailand before being appointed the Governor. Mr. Suparut Kawatkul Permanent-Secretary for Finance Mr. Suparut is an ex-officio member of the Board. He graduated with a B.Sc. (Econ) from

Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Program. The report is based in part on a template/questionnaire completed by the law firm Weerawong