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
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
Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those
the years, which led to otherwise avoidable damages and erosion of confidence in the capital market and the Thai economy as a whole. The SEC, therefore, will continue on with its timely and relentless
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
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
draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the
proposed amendment to the regulation relating to approval of paperless filing for establishment and management of mutual funds. The revision is intended to facilitate the business sector, reduce carbon
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