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
the securities clearing house or central securities depository to continue its business; (3) guidelines or procedures for business recovery; (4) guidelines or procedures for administration of assets and
business continuity plans (BCP) in coping with unexpected incidents that may affect their operations. The BCP involves having in place policy guidelines, action plan and regular testing of risk management
contingency plan to ensure seamless operation. The SEC also provided related guidelines for securities companies and was in the process of drafting a business continuity plan regulation in case of IT- unrelated
process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry
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
. 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
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