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
principles for governments to follow in developing their regulatory frameworks, recognising the importance of supervisory, regulatory and enforcement authorities in ensuring effective implementation. Broad
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
process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
governmental agencies for the development of financial products and services, and supporting voluntary disclosure of anonymized data by the public and private sectors. The FinTech Act is expected to benefit the
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, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act
Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint
on which the mediation of dispute is terminated due to the unsuccessfulness of the mediation, it shall be deemed that the parties no longer intends to continue the arbitral process and the Office shall
and advice that is relevant to investors. It also contains new principles with respect to cross border listings and the importance of fair and effective price discovery in stock markets. IV) The role of