SEC held a seminar under the topic of “Thailand SEC Policy Dialogue 2018: Regulating by Market Forces” on 28 November 2018 at the Grand Hyatt Erawan Hotel, with the objective to stimulate policy discussions regarding the supervision and development of capital market from important stakeholders such as SET, institutional investors, the Government Pension Fund, listed companies, intermediaries, and professionals, with the hope for the market force to play a significant role in driving forwa...
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Derivatives Exchange, as detailed in Chapter 2; (2) Business Continuity Management and Security of Information Technology Systems, as detailed in Chapter 3; (3) Retention of Information and Documents, as
in revenue and the cost is significantly increased as mentioned above, and one more reason because River Kwai International Food Industry Co., Ltd., a subsidiary of the company has applied ON promotion
establishes regulations on the supervision of derivatives clearing houses as follows: (1) good governance and organizational structuring, as detailed in Chapter 2; (2) regulations on business operation, as
contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly
hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly decrease or