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
remuneration, financial disclosure, the behaviour of institutional investors, boardroom practices and the functioning of stock markets. Sound corporate governance is an essential element for promoting capital
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...
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
likelihood and the possible effects. 7.5 The company has measures and operational plans to handle risk by either accepting, reducing, avoiding or sharing risks. 8. The organization considers the potential for
dishonesty; (3) During the course of three years preceding the year when the application is filed up until the date of registration as a qualified fund supervisor, not have operational records indicating the
three years preceding the year when the application is filed up until the date of registration as a qualified fund supervisor, not have operational records indicating the nature of deceit or dishonesty or