needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
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
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
January 2022, 1000X, the service provider of the website https://www.1000x.live (1000x.live), had provided services or presented itself to the public that it was ready to provide the service with respect
in this Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and
Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and ready to
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the
Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information