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...
The Securities and Exchange Commission (SEC), led by Ms. Archinee Pattamasukhon, Assistant Secretary-General, along with SEC executives and staff, donated necessary items to the Fueng-Fah Home for
scription Agre cute, amend, necessary a mmission, the vant authoritie orization; e any necess on. accordingly. wai e subscription nd of Decemb ernal control ter the enterin having 5 direc ard of Directo zed
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
proposal. The SEC has therefore issued the relevant regulations, with the essential points as follows: (1) Requiring the auditors in the capital market to be affiliated with audit firms in the capital
systems to support compliance with TFRS 17. The consulting firm is currently preparing and gradually delivering the necessary data for the auditor’s review. As a result, CHARAN requested additional time
formats to be tailored to investor types and service characteristics, while ensuring that investors continue to receive essential information necessary to monitor their investment performance;(3
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
capital to green investments that are essential in driving sustainable growth in Thailand.”Mr. Andres Vinelli, Chief Economist, CFA Institute added “Climate change is not a future event waiting to happen
necessary. Clause 4. In addition to the material information of the contract that should be identified as agreed upon by counterparties, the securities registrar shall include the following contents in the