-regulation and the costs from unintended consequences of policy action. 8 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL © OECD 2011 underpinned by a stock-taking exercise of progress
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
SHARE : SEC public hearing on draft amendment to approval for paperless filing of mutual funds Friday 8 November 2019 | No. 161 / 2019 Bangkok, 8 November 2019 – The SEC is seeking public comments on a
an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are inconsistent with the ever-advancing technologies and do not
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
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
undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly