monitoring of companies and is central to shareholders‟ ability to exercise their ownership rights on an informed basis. Evidence from around the world demonstrates that disclosure can be a powerful tool for
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
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
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
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
twenty thousand baht for each dispute. Clause 35. In cases where the arbitral proceeding is terminated, if the arbitrator orders any party to pay the arbitrator’s fee, the arbitrator shall return a deposit
Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and procedures for settlement of disputes
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC
over investment management companies. The proposed revision also includes the ability for investment management companies to seek unitholders? resolution by holding a meeting for such purpose in addition