regulatory provisions, market credibility requires that their status in terms of coverage, implementation, compliance and sanctions is clearly specified. C. The division of responsibilities among different
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
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
and looks at both legal requirements and actual practice. The assessment confirms that Thailand is a regional leader in corporate governance and has achieved high levels of compliance in a number of key
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
characteristics, and qualifications used for registration, whether with authority or not, and training history at the Thai Institute of Directors. Financial data: Data relating to the financial aspect of business