Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy
with Chapter 4; (5) additional rules in accordance with Chapter 5. 3 Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable derivatives clearing houses to practice in a consistent manner; (2) set out detailed