country, international organizations, or recipients abroad, the SEC Office shall ensure that the destination agencies have sufficient security standards for personal data protection. 4. Retention and
SEC Office shall ensure that the destination agencies have sufficient security standards for personal data protection. 4. Retention and Retention Period of Personal Data The SEC Office retains your
to harmonize all regulations on foreign companies? share offerings and ensure that Thai investors have protection comparable to that under Thai law. In this regard, the foreign companies are required
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
system. 11.2 The company should define suitable control measures for infrastructure of technology system. 11.3 The company should define suitable security control for the technology system. Questions Yes
Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the
related business (Section 22) Other related business Licensing / Registered Capital / Fees Business Conduct Securities Lending / Credit Balance (Section 102) Protection of Customer Assets (Section 98(3
investment management companies while achieving the appropriate right balance between regulatory flexibility and investor protection. At the same time, investors are offered money market funds as an