capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control

guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well

the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem

guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem that the intermediaries

Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general

fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to

: Equal score to last year?s assessment due, in part, to little progress on regulatory reform over the past two years. In addition, the SEC and the Stock Exchange of Thailand (SET) were advised to enhance

| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency

In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from

services to achieve the SEC mission and better serve the needs of stakeholders continuously. _______________________Remark: * The PACC has developed a guideline manual for establishing public sector