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

revised in 2004 to take into account inter alia, the experience in Asia with concentrated ownership. The Asian Roundtable therefore decided that a review of the White Paper was warranted. This Report is

shall make a contract of compromise as per Form OrYor. 4 prescribed by the Office. If the mediation is unsuccessful whether because the parties cannot reach an agreement or the Office is of opinion that

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

and environmental laws. Under these circumstances, there is a risk that the variety of legal influences may cause unintentional overlaps and even conflicts, which may frustrate the ability to pursue key

. Furthermore, issuers will be given a longer period before this notification comes into effect. That is the new rules will apply to companies that file their filing forms from 1 April 2019. This will give

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

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

an important institution for a long-term development of the Thai economy. Moreover, it will create a balance between the debt instrument and equity instrument markets that is so important for a long