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...
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
planning and the improvement in the quality of goods, as well as improving and controlling the internal operational efficiency of the Company. During the second quarter, the Company continued to pursue its
performance of the Company is deteriorating. The Company has been able to sell the products but the ownership transfer target cannot be achieved. The operational strategy has thus been adjusted and 2017 is
estate business and thus the Company has to revise its strategy and target group. The year 2017 marks “The Year of Shift”. First of all, the target customers of the Company have been changed from middle to
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