English (United States) SECBoard recommendations on corporate governance and sustainable development, risk management, compliance with other applicable laws and regulations including the SEC anti-corruption
operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the https://www.sec.or.th/EN/Pages
electronic media occurs extensively in increasingly various forms, both in https://publish.sec.or.th/nrs/8500pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ including derivatives fund managers being a
- - Unlicensed digital asset businesses 0 0 1 2 0 0 1 2 Director or person responsible for business operator fraud (including aider and abettor) 0 0 - - 0 0 - - Giving false https://www.sec.or.th/EN/Documents
capital market towards sustainability /Sustainable Investment products, covering mutual funds, real estate investment trusts (REIT), property funds and infrastructure funds, including alternative ESG
ตลาดหลักทรัพย์ including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through
the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx securities-ITchecklist.xlsx Timeline การปฏิบัติ
(including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx securities-ITchecklist.xlsx Timeline การปฏิบัติตามประกาศ IT กรอบระยะเวลาการ