international standards in the area of Thai securities business. The SEC always emphasizes on anti-money laundering and announced the regulations to ensure that preventive measures against use of securities

regulations.As TTA executive previously held press conference stating that a group of investors who claimed to hold 30% stake in TTA and negotiated for change of directors and company business, the SEC urges

branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in

SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in

joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by

exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of

(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory