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
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
Must Manage in This Changing World” emphasizes 4 types of challenges that are significant turning points, including the era of quickly shifting technology, the use of benefits from ASEAN becoming
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
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