penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis; (4) To adjust the
considered that both offenders do not consent to settle the case at the SEC level. Therefore, the SEC has submitted the case in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek
sellers who have benefited more than they should have (in cases where they still have a sufficient number of units at the time of compensation); (2) To increase flexibility for AMCs to pay monetary
"Anti-scam Hotline” scheme to provide direct channels for reporting investment scams at tel. 1207 ext. 22, or via SEC website at www.sec.or.th/scamalert, or email at scamalert@sec.or.th. The SEC has
for at least two years; (4) To adjust the applicable scope of investment advisory business operators to ensure their implementation of sufficient controls over the management of IT-related risks
stakeholders in the international digital asset industry.” On 1 November 2021, the first day of the webinar, SEC Secretary-General will give opening remarks at 20.00 hours (local time), followed by a live
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
towards Stable Goals” at SEC booth at the “SET in the City 2019” event which will kick off from 14 – 17 November 2019 at the Paragon Hall, Siam Paragon shopping center.____________________
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure