and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk

the business?s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014. The consultation paper is available on

of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational

Center (PCT). The meeting discussed the operational approaches of the Anti‑Cyber Scam Center in addressing mule accounts, including cases involving the use of securities companies to channel or transfer

as follows:           (1)  Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive

guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and

Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first

  EKH/CS/2019/028 August 13, 2019 Re Establishment of New Subsidiary To

FS 07/2020 14 May 2020 Subject Report resolution of establishment of a new subsidiary To Director and President The Stock Exchange of Thailand Forth Smart Service Public Company Limited (“the Company

alleged offenders to hear the charges. In addition, there was media coverage on complaints relating to the establishment of BTS Rail Mass Transit Growth Infrastructure Fund (BTSGIF) currently in the process