SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Republic of Korea, Japan, New Zealand and Australia ? Thailand is making preparations for the launch of passport funds within 2017 as all five capital market regulators have 18 months to issue relevant
issuance and offering of Transition Bonds and Thailand Amber Bonds in accordance with the Thailand Taxonomy, revisions to the regulations to enhance disclosure for Sustainability Bonds, and preparations for
) Ltd. (99.99% indirect subsidiary of the Company) holds 100% Establishment objectives: Preparations for international investments Head office location: Tortola Pier Park, Building 1, 2nd Floor, Wickhams
ensure that audit firms in the capital market would have sufficient time to make necessary preparations and mitigate unintended consequences for clients, specifically businesses in the capital market. (2
-money service providers.”The SEC is revising relevant regulations and has opened a pre-consultation phase for businesses to engage in discussions and make necessary preparations, starting from early
manager. This gives involved parties, including numerous capital market business personnel, sufficient time to make necessary preparations within this year. “SEC is confident that personnel in capital