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
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
may be. If the respondent fails to select the arbitrator within such period of time, the Office shall appoint the arbitrator on behalf of the respondent; (3) the arbitrators selected under (1) and (2
on their behalf, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. (UNOFFICIAL TRANSLATION) - 4 - Clause 9. After the officer
serve as the basis for the Guidelines on corporate governance of banks issued by the Basel Committee on Banking Supervision, the OECD Guidelines on Insurer and Pension Fund Governance and as a reference
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
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
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
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create