Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create
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
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
conflicting objectives, for example where the same institution is charged with attracting business and sanctioning violations, should be avoided or managed through clear governance provisions. Overlapping and
Information Technology for the Benefits of the Capital Market Promoting the Issuance of a Variety of Financial Instruments so that They can Serve the Fund-Raising Need of Businesses and at the Same Time Provide
risks from their operation. The proportion of owner’s equity shall not be less than the total expenses of the business operation over a period of 6 months as shown in the most recent financial statements
% Securities Companies 0.11% 0.40% financial institution 2.98% 0.41% foundation 0.01% - Others 11.77% 14.05% TOTALS 82.82% 17.18% coRPoRAte goveRnAnce Rosc FoR thAIlAnd | 8landscape 0 40 20 60 80 100 120 2008
licenses for operating business of broker, dealer, and underwriter for mutual fund investment units (limited BDU licenses) to financial institutions in order to expand distribution channels of investment
regulations as well as the amendments to such rules and regulations ë Examine business operation, ensure financial soundness and conduct investigation against possible misconduct or complaints ë Approve the