policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
SEC Secretary-General Ruenvadee Suwanmongkol said that while everyone is practicing social distancing to control and mitigate the impacts of the Coronavirus disease (COVID-19), small-and medium
benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the
measure to control the spread of COVID-19. The seminars will be broadcast live every Friday throughout the month of May, from 16.00 to 17.00 hours. The episodes in chronological order are as follows: 1
remediation plan to prevent recurrence of similar incidents. In any case, the detected deficiencies will be considered in detail when the SEC reviews KPMG’s audit quality control system
of conflicts of interest, internal control and receipt and delivery of fund assets. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
principles of technology usage;(3) Allow fund managers or securities analysts to participate in fintech development/application processes;(4) Have a control and inspection system for algorithm
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
(s) with the ultimate power of control of the tender offeror. In addition, it was found that disclosure of certain topics in the tender offer documentation was unclear.The SEC therefore ordered North