derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
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
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
October and December further increased the rate by 25 bps on each occasion, to reach 2% in December. For 2005, it is anticipated that the US interest rate is still on an upward trend. The Thai 14-day
dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with
at shareholder meetings, the procedures for approval of related party transactions and shareholder participation in decisions on executive remuneration. III) Institutional investors, stock markets and