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
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key and necessary knowledge and skills required for financial literacy to be further developed into curriculum as well as associated teaching tools and media, and (3) endeavor to build a robust network
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