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 investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
The Sub-committee on Digital Strategy for Capital Market, chaired by Mrs. Methini Thepmanee, has approved the SEC Capital Market Digital Strategic Plan 2020 – 2022, which aims to support
manager. This gives involved parties, including numerous capital market business personnel, sufficient time to make necessary preparations within this year. “SEC is confident that personnel in capital
addition, SEC and the capital market business operators have already made necessary preparations and discussed guidelines on business continuity management. Also, respective business continuity plans have
New Products - Debt Market สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Debt Market Debenture [Data will be displayed only 14 days after
New Products - Equity Market สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Equity Market Equity ( 74 record(s) found) Issuer Name/Offer Name
ensure that audit firms in the capital market would have sufficient time to make necessary preparations and mitigate unintended consequences for clients, specifically businesses in the capital market. (2
In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
The Securities and Exchange Commission (SEC) organized the annual SEC Capital Market Symposium 2024 to foster research, innovation and academic collaboration in the Thai capital market. The event
The Securities and Exchange Commission (SEC) organized the SEC Capital Market Symposium 2023, an annual seminar to foster collaboration in research and dissemination of academic papers on capital