establish clearer standards and guidelines for business operators. The IT system must maintain security, integrity and availability of work systems and data in regard to IT risks and cyber risks. This took
have the independent director review the work of the SKFM management from 2016 to 2018; and (4) neglecting the supervision of SKFM operation, causing deficiencies in many cases. For
reviewed or audited by an auditor who is employed by an audit firm that has been inspected by the SEC** as well as the annual report; 3. Directors and senior executives of each work unit
as the responsible agency, and to be ready to work with the private sector and all relevant sectors including the United Nations Working Group on business and human rights and the UNDP
between SEC Thailand and SECC in addition to the MOU signed in 2014. This MOU covers the establishment and functions of the task force between SEC Thailand and the SECC to work on the process of
processes in the capital market to work more effectively, decrease the cost in accessibility or the operation of each market participant in each sector also be transparent and able to be inspected, and
as consultants to securities companies or relating to investment management, and other work within the scope of performing duties as personnel in the capital market business.
SEC Secretary-General Ruenvadee Suwanmongkol said, “As I have taken a job as head of SEC since early May, I commit myself to work closely with SET on holistic approach in order to enhance
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been