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
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
, through more rigorous disclosure rules, with a greater focus on monitoring and enforcing of rules and regulations. Within the corporate sector, broader (but by no means universal) recognition is developing
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
date of appointment of the arbitrator. Except where it is deemed necessary and appropriate, the arbitrator, at its own discretion, may extend the period for making a dispute resolution but not exceeding
implementation of the G20/OECD Principles in G20 and OECD countries, and beyond, thus contributing to better corporate governance as a key element of trust and confidence of our citizens in companies and markets
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
businesses and FinTech startups to make the most of financial innovations, but also promote a full-scale digital economy.?The FinTech Draft Act contains four core matters: (1) strengthening the confidence 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
to look and act beyond our frontier. With Thailand assuming as increasingly prominent role as one of Asia’s leading growth engines, we must be more engaged in the development of Asia’s financial system