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
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
clearing and settlement, including in the case of default in securities clearing and settlement; (4) business continuity management, with measures that meet international standards in a bid to promote and
supervision and development of the Thai capital market meet international standards to ensure that our competitiveness pars with foreign counterpartûs. This requires closed cooperation from all related parties
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
oversight of financial reporting, disclosure, internal control and internal audit to make sure that the firm’s financial records and reporting fully meet Thai Generally Acceptable Accounting Principles
investing public as it would allow access to financial products and services that meet investors? demands on a wider scale with lower costs.The FinTech Draft Act has undergone public hearings and is under
, including market intermediaries and listed companies.1 The SEC and capital markets are governed by the Securities and Exchange Act 1992 (SEA). The SEA has a wide-ranging scope and was amended in 2008 to
and services that meet investors? demands on a wider scale with lower costs. The FinTech Draft Act has undergone public hearings and is under revision process. The final Draft Act will be submitted
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations