establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
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
Supervisory Board TorThor. 12/2555 Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2) http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1
management companies with clear operational direction toward achieving net-zero emissions, supporting the sustainable growth of Thailand’s fund and capital market industry. Ms. Nataya Niyamanusorn, SEC
intelligence (AI), highlighting the SEC's guidelines for AI usage to enhance customer services and operational efficiency for capital market stakeholders. She concluded by encouraging collaboration between
, enabling listed companies to apply these principles in their operational processes and integrate them into the 56-1 One Report disclosure. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Ms