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
Exchange Commission the power to issue and revoke securities business licenses as well as the power to approve additional types of securities businesses and specify paid-up registered capital thereof. These
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties
ownership to the Ministry of Finance. : No. 1/2017 dated 8 September 2018 issue by Ministry of Finance By the Phuket Treasury Department allow to use of state property https://market.sec.or.th/public/idisc
Finance. : No. 1/2017 dated 8 September 2018 issue by Ministry of Finance By the Phuket Treasury Department allow to use of state property https://market.sec.or.th/public/idisc/Download?FILEID=dat/news
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
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
products and services in order to lessen their dependency on brokerage fee revenue, and launched a securities business liberalization roadmap to get the industry players started on the preparation for the
clearing and settlement, including in the case of default in securities clearing and settlement; (4) business continuity management, with measures that meet international standards in a bid to promote and