provision and at least once a year thereafter. In addition, digital asset business operators must conduct a cyber resilience assessment every year. Regarding custody of clients’ digital assets, the SEC
Microsoft Word - ACC-LT022_E_MDA-Y'1Y (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
Microsoft Word - ACC-LT022_T_MDA-Y'17 (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
The amendment to the regulations related to the provision of NVDR transaction services by securities companies aims to enhance clarity and serve the original intent of the introduction of NVDR to
In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc...
Bangkok, April 4, 2014 ? The SEC hosted the ?SEC for CEO Forum? to leverage private sector to tie sustainability to their business operation and prepare for mounting technology risk.Vorapol Socatiyanurak, SEC Secretary-General said that the SEC hosted ?Modern business, attentive and ready for any situation?, the first ?SEC for CEO Forum? in 2017 to strengthen cooperation and exchange experience and insight between top executives of listed companies and the SEC. The Forum focused on corporate re...
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by