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 afore-mentioned Capital Market Development Plan, acknowledged by the Cabinet on Tuesday, January 31, 2023, consists of the following five strategic directions for continued growth of the capital market which is envisioned to become: Strategic Direction 1 Capital market for competitiveness (Competitiveness), in which potentiality and competitiveness of all sectors in the capital market and economic system will be reinforced. Strategic Direction 2 Capital market accessible to all (Accessibili...
crucial to ensure this infrastructure is not supporting continued fossil fuel electricity generation. At the same time, this infrastructure is vital for the decarbonisation of other sectors. For industrial
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
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
knowledge in accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
’ Sustainable Development Goals (SDGs). As corporates have a vital role in driving the economy, SEC promotes and supports their efforts to integrate environmental, social and governance (ESG) factors into their
....................................................................................22 Root Cause Analysis......................................................................................33 Framework and Focuses in 2019...............................................35 Essential