should be consistent with the rule of law, transparent and enforceable. If new laws and regulations are needed, such as to deal with clear cases of market imperfections, they should be designed in a way
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
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
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
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
include a number of provisions on the governance of listed companies, giving the SEC clear authority in these areas. The SEC also oversees the Stock Exchange of Thailand (SET). Its Regulations for Listed
maintain the readiness of important systems of securities clearing houses and central securities depositories so that they can operate continuously; (5) disclosure of information in a clear, transparent, and
stakeholders’ rights; · To review whether draft notifications are authorized by law, and the contents are consistent with other regulations of a similar sort, clear and practical; · To go