: - have robust checks and balances mechanisms in place in every critical business system; - have effective business continuity management and plans; - have a customer onboarding and Know Your Customer
, easy to understand, and timely, ensuring that all investor groups have equal access to such information. The disclosed information must also reflect both past performance and future action plans
public and private sectors in the Thai capital market in driving forward the National Strategy and the National Reform plans. The topic on low carbon businesses is raised by private sector to Prime
to support sustainable development of funds and the investment management industry. The action plans therein are as follows: (1) Developing Thailand ESG Data Framework to enhance fund managers’ duty
with the National Strategy in the aspect of providing provincial people with the access to financial services and the capital market, including more understanding of SEC’s roles, in 2019 SEC plans to
of companies, capital market, economy and the country at large. SEC plans to give continuous support to companies interested in disclosure according to the TCFD recommendations. In the first quarter of
changes in the digital age,” added SEC Secretary-General. In addition, the DGA will render cooperation with regard to laying out strategies, policies and action plans, develop guidelines in accordance
executives with prohibited characteristics, (4) putting in place issuer due diligence and product screening systems, (5) examining issuers? business plans and the source codes of smart contract, (6) conducting
SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to