unitary board is overseen by an internal auditor’s body, the principles applicable to the board are also, mutatis mutandis, applicable. As the definition of the term “key executive” may vary among

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

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

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

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

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

include a number of provisions on the governance of listed companies, giving the SEC clear authority in these areas. The SEC also oversees the Stock Exchange of Thailand (SET). Its Regulations for Listed

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and

for capital raising and mobilization, and become an effective catalyst for sustainable progress and prosperity of the Thai capital market in the years to come. Thailand economic direction is driven by a