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
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its
five years prior to the date the branch office starts its operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its