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 SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
proposed amendment to the regulation relating to approval of paperless filing for establishment and management of mutual funds. The revision is intended to facilitate the business sector, reduce carbon
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
) incident management, as detailed in Part 4; (5) establishment of policies and monitoring and analysis of information technology systems, as detailed in Part 5. Part 1 Business Continuity Management
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
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to
, on bilateral and multilateral levels, in several areas among member jurisdictions. Additionally, the SEC contributed to the establishment of international supervisory standards at the IOSCOûs
the Thai Capital Market as an Important Alternative for Fund Mobilization and Investment Achieving Efficiency and Competitiveness for the Thai Capital Market ■ Establishment of Derivatives Market as an