appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or
. Teetiphun Theppadungporn's directorship. Given such circumstances, the SEC views that an immediate arrangement of a shareholders? meeting to appoint new directors is imperative. The SEC has thus instructed
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
การเข้าร่วมใน IOSCO Administrative Arrangement (AA) และ IOSCO Enhanced MMoU (EMMOU) เพื่อยกระดับประสิทธิภาพการให้ความช่วยเหลือระหว่างประเทศสมาชิก เมื่อวันที่ 8 พฤศจิกายน 2564
registration statement (Form 56-1) in particular provides important information in three sections: (1) nature of business operation of the company, group of companies and subsidiaries, (2) management and
. --------------------------------------* Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
been approved in the capital market and mutual fund information such as nature and characteristics of mutual funds, fees and past performance. The dissemination of information via SEC API aims to help