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

B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business

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

Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry

website in accordance with its duty to disclose data to the public in the interest of investors, business operators, and all other relevant parties. The SEC Office discloses or submits personal data for use

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

agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such