asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
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
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are
adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
basis of capital adequacy, readiness of business operation, internal control system, risk management system, conflict of interest prevention system and customer service system. To promote derivatives
securities business operation, the SEC issued a regulation requiring all securities companies to put in place an information technology risk management plan with database and system backup solut ions and a
capabilities and increasing flexibility of business operation in support of their structural adjustments; ë To continue its path of regulatory reform from merit-based toward disclosure-based regulation to bring
-General ]6 . . . . . . . . [ MESSAGE FROM THE SECRETARY-GENERAL ] (Mr. P rasa r n Tra i r a t vo raku l ) Sec re t a r y -Gene ra l In 2001 many measures of the SEC were put into operation. In our attempt
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
business development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment