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
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
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
restructuring of businesses and business stress resolution, promotion of good corporate governance for listed companies and market intermediaries, enhancement of measures to empower investors, support for re
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
__________________ 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
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
. Pridiyathorn is an ex-officio member of the Board. He has been Governor of the Bank of Thailand since May 2001. He holds an MBA (International Business) from Wharton School, University of Pennsylvania, USA and a
or conglomerate/business group-related often family owned. In both, interlocking corporate forms can serve to entrench control. State-ownership is prevalent in Asian economies. A number of them have
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