ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
such deposited money or assets, if the creditors or the unitholders do not file claims within ten years from the date of receipt of the notice. Clause 10. The liquidator shall complete the liquidation
business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
wishes to be an auditor approved by the SEC Office shall file an application for approval to the SEC Office per Form 61-1F together with documents and evidence as specified on the website of the SEC Office
person to access to the record. [M] Change Management. Objective . Change Management have an objective for rendering the developed or altered computer system having the correct and complete integrity which