and having a content cover the following matter [M] ▪ Security of the Information Technology of a Securities Company. ▪ Segregation of Duties. ▪ Physical Security. ▪ Information and Network Security
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
an intermediary’s service and shall include fund, unitholder or member of the provident fund; “fund” means a mutual fund, private fund and provident fund; “central utility function” means a function
distribution channels is increase that for cover more the customers. Please be informed. Yours Sincerely, Panya Bunyapiwat Chairman
Earlier, the SEC instructed KWI to conduct a special audit and submit the special audit report by 25 May 2025.* The company later requested a deadline extension to 31 August 2025 to cover the entire
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the