financial situation, ownership and governance of the company. (ii) Regulators and companies should continue to use the opportunites created by new technologies to enhance the fairness and efficiency of the
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
mobilized as well as how products and services are being offered to the investor.The proposed law amendments, therefore, would serve as a main building block to further enhance our capital market?s
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, 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
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
Investment Alternatives for Investors ■ Promotion of New Types of Mutual Funds as Additional Vehicle for Investments ■ Revision of the Regulations Governing the Public Offering of Securities to Facilitate the
irregular or inappropriate securities trading in order to reduce risks that may occur to the whole system. In terms of infrastructure development, all market participants have been prepared to welcome the new
Wellington, New Zealand and an M.A. in International Economics from Syracuse University, USA. Prior to becoming Permanent-Secretary for Commerce, he was Director-General of the Department of Insurance