SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
investors. Such new regime would promote a market environment conducive to competition in line with the Ease-of-Doing-Business Policy of the public sector. The new regime would also keep the existing
As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to
, using technology to improve business efficiency and adjust themselves to correspond with technological rapid changing during digital age, including business matching activity to drive business growth
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
and operation, and that the staff are moving forward in the same direction in order for the company to adjust, grow, and create value to the business, the stakeholders and the society as a whole.The CG
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the
Chunhavajira(3) Mr. Rawin BoonyanusasnaThe new governors will commence a three-year term on 5 February 2024. Concurrently, three existing governors to depart upon completion of their term are: (1) Dr. Prasarn
derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept