องผู้ออกตราสาร (Business Risk) ความเส่ียงที่เกิดจากการเปล่ียนแปลงความสามารถในการท าก าไรของบริษัท ซึ่งอาจเป็นเหตุให้ผู้ลงทุนไม่ไดร้ับ ผลตอบแทนที่คาดหวงั โอกาสที่จะเกิดความเส่ียง บริษัทผูอ้อกตราสารมี
The SEC has announced the Master Blueprint for Thai capital market, which includes the launch of Distributed Ledger Technology (DLT) as the new digital platform for capital market transactions to
) |- Holidays (section 110) |- Securities Registrar Business (section 222) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering
Bangkok, April 4, 2014 ? The SEC hosted the ?SEC for CEO Forum? to leverage private sector to tie sustainability to their business operation and prepare for mounting technology risk.Vorapol
Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules
(section 110) |- Securities Registrar Business (section 222) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No