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
Bangkok, 31 August 2017 ? The SEC is seeking public comments on the draft rules concerning determination of paid-up registered capital of securities and derivatives intermediaries to better suit
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
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
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
Bangkok, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act
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internal audit plan in place by reviewing all departments’ operational risk management plans and prioritising them according to their risk level. The audit will focus on high risk/high impact areas and will
futures exchange and formulate risk management tools. Moreover, closed coordination will be made with foreign regulators while Thailand will participate in the assessment project called the Report on the