strengthened. It is sug- gested that jurisdictions regularly review whether their supervisory, regulatory and enforcement au- thorities are sufficiently resourced, independent and empowered to deal with
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC
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
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
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
B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
should be consistent with the rule of law, transparent and enforceable. If new laws and regulations are needed, such as to deal with clear cases of market imperfections, they should be designed in a way
part to the sustained efforts of all parties involved. Over the year 2004, the Securities and Exchange Commission (SEC) worked with the Stock Exchange of Thailand (SET) and other public agencies as well
plan will put an emphasis on investor protection in the following areas: 3.1 Communications with investors: Improve prospectus by making it easy to understand, include risk information in the mutual