Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
maintaining or recovery of business operations which contain sufficient details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and
, including combating corruption and bribery. The SEC has continuously communicated its expectations regarding the roles and responsibilities of those involved in audit and internal control functions of
Bangkok, October 15, 2013 ? The SEC today launched new corporate website with more user-friendly design. Newly introduced and improved functions and features have been built-in to offer even more
that facilitates market innovation, and enable market practitioners? self-regulatory functions. The proposed amendments will revoke all provisions on associations related to securities business currently
Exchange of Thailand (SET), and the SEC.The discussion underscored the importance of integrating the roles of directors and executives, as well as strengthening the function of internal auditors, in line
compliance professionals and facilitating more flexibility and compatibility with international standards as compliance unit functions for inspection and prevention of risks associated with business operators