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
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
prescribed by the Office to the Office within seven days from the date on which the respondent receives the name list. If the Office is of opinion that there is a reasonable ground for the challenge, the
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
additional clarity to others. While some of the Principles may be more appropriate for larger than for smaller companies, it is suggested that policymakers may wish to raise awareness of good corporate
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
governmental agencies for the development of financial products and services, and supporting voluntary disclosure of anonymized data by the public and private sectors. The FinTech Act is expected to benefit the
. The SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the
for the mutual benefits of countries in the region. The Asian Bond Market Development initiative is a very important example of a joint undertaking of which Thailand has been a very active proponent
ตลาดหลักทรัพย์ Name of the Organization in English: The Securities and Exchange Commission, Thailand Address: 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900 Contact Channels: Help Center: 1207