technology and use it to manage investment risk. Moreover, the regulations would also stipulate that the business providers must disclose their information and make it accessible for the investing public
investment risk. Besides, the regulations would also stipulate that the business providers must disclose their information and make it accessible for the investing public, such as, the forms of services
provide convenient, accessible channels for members seeking investment advice; 3) To provide investment advice on basic asset allocation; 4) To provide a standard fact sheet for fund committees to use as a
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major
, with the requirement that during the first two years, the records must be stored in a format that is readily accessible for the SEC’s review or inspection. The Notification concerning the amendments has
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
limit. Share issuers must disclose such information sufficiently and publicly. As to more complicated corporate governance aspects and information that is less accessible and difficult for investors to