financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and

adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

not suffering from the same impacts and it should be able to support a large amount of critical business functions or a long-lasting emergengy incidents. In addition, the alternative site should be

main office sufficient for not suffering from the same impacts and it should be able to support a large amount of critical business functions or a long-lasting emergengy incidents. In addition, the

workplace through human resource unit would achieve a long-lasting knowledge dissemination and management. The first ?FL in Workplace? is now open for 30 participants. The application can be filed until April

Bangkok, November  20, 2013 ? SEC, ThaiBMA and TIA introduce ?Bond Supermart? to encourage retail investors access to corporate bonds in the secondary market with adequate information for investment

ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation