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

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

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

organizations, or recipients abroad, the SEC Office shall ensure that the destination agencies have sufficient security standards for personal data protection. 4. Retention and Retention Period of Personal Data

Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE

governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority

house or central securities depository, as the case may be. Clause 21 This Chapter contains regulations on business continuity management and security of information technology systems in the following

Development (OECD Principles of Corporate Governance ปี 2004) และ ข้อเสนอแนะของธนาคารโลกจากการเข้าร่วมโครงการ Corporate Governance - Reports on the Observance of Standards and Codes (CG-ROSC) ตลาดหลักทรัพย์ฯ

management while rendering proper investor protection. Financial institutions that used to rely on B/E fund source have time until end of June to prepare for compliance with SEC supervision,? said SEC