objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
Asset Operators Trade Association (TDO), and the Stock Exchange of Thailand (SET), organized Capital Market Cyber Exercise 2024, the 6th annual seminar for businesses in the capital market, with support
-organized by the Asian Development Bank (ADB), the SEC, the Stock Exchange of Thailand (SET), and the Thai Bond Market Association (ThaiBMA). Her address highlighted the SEC’s regulatory direction for capital
) remuneration and punishment which is based primarily on service quality; (4) complete, clear and accurate sales process which must not mislead or be a nuisance to customers; (5) effective employee communications
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
of close associates. As a result, NUSA was required to amend its financial statements to ensure disclosure of accurate information. However, it has been found that the annual financial statements for
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC