procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
use of cloud computing under Clause 8(1) which contains at least the following matters: (1) assess risks relating to the use of cloud computing services; (2) define areas or function the cloud computing
of cloud computing under Clause 8(1) which contains at least the following matters: (1) assess risks relating to the use of cloud computing services; (2) define areas or function the cloud computing
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
business continuity plan to minimise disruption to operations and ensure that the business remains viable during the virus outbreak. • Perform stress test to evaluate impacts on the business, financial
implemented a COVID-19 business continuity plan to minimize disruption to operations and ensure that the business remains viable during the virus outbreak. • Perform stress test to evaluate impacts on the