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 securities clearing house or central securities depository to continue its business; (3) guidelines or procedures for business recovery; (4) guidelines or procedures for administration of assets and
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
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
systems to ensure continuity of business and a timely resumption to normal operations. The SEC also examined the SET's policies and procedures on BCP and business continuity management (BCM) adopting as the
=50&rows=10 51 - 60 of 15,636 results Sort by: Relevance Date (Newest) Date (Oldest) SEC public hearing on proposed amendment to regulations regarding digital asset business operator’s advertisement
=50&rows=10 51 - 60 of 15,636 results Sort by: Relevance Date (Newest) Date (Oldest) SEC public hearing on proposed amendment to regulations regarding digital asset business operator’s advertisement
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
procedures to promote long-term investment and saving through long term equity fund (LTF), reforming the IPO subscription process to ensure fair accessibility for all investors, as well as continuing to