In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration
, promoting the use of technology to screen information that may cause harm, and supporting the public's ability to make investment decisions with greater prudence and safety, including collaboration with Meta
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
month.?The SEC, BSA and technology experts from the private sector will jointly organize the seminar for directors, executives and employees of listed companies to create awareness of the ever-increasing
e-service Online Submission Others (Securities Business) >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange