Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
website also provides information on corporate social responsibility and anti-corruption gathered from relevant authorities. Assessments in the said areas both at the country and corporate levels have been
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
ratings from official assessments indicating full structural integrity and safety for occupancy. All examined structures demonstrate earthquake resistance as they were designed according to current seismic
matters and incorporating their opinions into company strategies. · ESG data and risk assessments are increasingly used in board decision-making and linked to enterprise risk management
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No