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
B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business
securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
business impacts of crises. The Stock Exchange of Thailand (SET) was preparing its business continuity plan, which shall be submitted to the SEC upon completion. ë Internal Control The SEC places importance
ตลาดหลักทรัพย์แห่งประเทศไทย คือ ระบบท่ีจัดให้มี โครงสร้างและกระบวนการของความสัมพันธ์ระหว่างคณะกรรมการ ฝ่ายจัดการ และผู้ถือหุ้น เพื่อสร้างความสามารถในการแข่งขัน นำาไปสู่ ความเจริญเติบโตและเพิ่มมูลค่าให้กับผู้ถือ
, supervision and enforcement of corporate governance rules. This requires an analysis of how the particular business models of stock exchanges affect the incentives and ability to carry out these functions. E
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