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
on Appointment of Selling Agent to Increase Securities Distribution Channels ● Investor Education Program 31 GOAL 2 Promote and Develop Mechanism to Empower Investors ● Promotion of Good Corporate
. Pridiyathorn is an ex-officio member of the Board. He has been Governor of the Bank of Thailand since May 2001. He holds an MBA (International Business) from Wharton School, University of Pennsylvania, USA and a
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: Relevance Date (Newest) Date (Oldest) SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning creditability of digital asset business
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