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
. This event featured expert speakers who delivered financial insights and inspiration talks on various topics, including: “Three Key Factors of Value Investing: Principal, Return and Time”, “Smart Saving
share financial and investment knowledge on the topic, “Thailand’s Financial Protection in the Digital Era,” featuring financial education talks by Ms. Sarica Apiwatthakakul, SEC Director of the
investment in sustainable initiatives, and supporting private sector participation in advancing climate change goals and national sustainability. Additionally, the seminar featured special talks by
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