insurance are combined, at least under a common holding company. There is little guidance on how such financial conglomerates should be overseen or regulated beyond general requirements to separate certain
with disclosure requirements or for securities fraud. Company, commercial and insolvency laws and the judicial system should help creditors enforce their claims in an equitable manner, in accordance
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
exchange and clearing house, and the licensing requirements which are in the process of approval ● Prescribed licensing rules for derivatives brokers, dealers, and fund managers ● Prescribed rules for the
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
/Pages/News_Detail.aspx?SECID=8655 SEC public hearing on draft regulations on capital requirements of investment management companies that manage property funds, infrastructure funds, REIT managers and
qualifications and code of conduct for those who provide investment advice. The requirements stipulate the readiness for conducting businesses and maintaining collateral for surety to compensate for damage to
amendments to capital requirements of digital asset exchanges, brokers, and dealers https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=848 SEC Thailand’s public hearing on revised principles for supervision
amendments to capital requirements of digital asset exchanges, brokers, and dealers https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=848 SEC Thailand’s public hearing on revised principles for supervision