. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
, with the requirement that during the first two years, the records must be stored in a format that is readily accessible for the SEC’s review or inspection. The Notification concerning the amendments has
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
limit. Share issuers must disclose such information sufficiently and publicly. As to more complicated corporate governance aspects and information that is less accessible and difficult for investors to
cross‑border investment within ASEAN more accessible, efficient, and liquid; and (2) Digital Working Group, covering the formulation of guidelines for tokenized investment products, the promotion of the
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
derivatives broker; (2) “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “initial margin” means the minimum amount of asset to be deposited by a