the SEC Office. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data Information concerning the supervision of ThaiBMA (report on trading of
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
Asset Management Co., Ltd • Chairman of Audit Committee, Secondary Mortgage Corporation • Assistant Governor, Financial Institution Supervision Group, Bank of Thailand Education : • Master of Management
) Elevate standards for the supervision of gatekeepers to prevent inappropriate conduct, and (3) Leverage technology to broaden access to financial information of small-and medium-sized listed firms
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.