not bring about liquidity problem and the funds? inability to appropriately sell their assets. Therefore, the SEC proposed to revise the regulations to be more practical in that the said dissolution
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
Management 11 Market Risk Management 14 Liquidity Risk Management 16 Operational Risk Management 17 Cyber Risk Management 17 Strategic Risk Management 19 3. Business Directions and Operations of Core
from fully operational of Wattanapat Ao Nang hospital (fully operational in March 2019), such as employee expenses, doctor fee, cost of goods sold, depreciation infrastructures and so forth. Selling
in the Departmental Level State Agency Category. The SEC is committed to leveraging digital technology to continuously enhance services and operational efficiency under the principle of providing
system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk