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

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

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

March 12,2020 Subject: Notification of the disposal of shares in the Biogas Power Plant Business of Akkrawat Crop Rotation Energy Company Limited (Revised No.2) Attention: President Stock Exchange of

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

agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such

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