asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
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
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
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
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
support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create opportunities for established and potential business operators to
promoting a conducive environment for transparent, efficient and fair markets. To achieve its objectives, the SEC oversees the quality of business operators, including their products and services, promotes 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
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
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