For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
(IOSCO), such as having the structure for supervising the Association to reflect good corporate governance, setting criteria for member subscription and for member supervision with transparency
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...
exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying