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

: elements of crime will be revised to be more concise and comprehensible as well as extended to cover non-insider who traded securities by using inside information obtained from others;2) Dissemination of

efficiently.  Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed

’ businesses, increase their liquidity derived from trading in more than one exchange and access to larger pool of potential investors.This MOU will cover the establishment and functions of the working team

which are divided into six parts. The summaries of the essence are as follows:          (1)  amends the definition of “Securities” in Section 4 to cover other investment products that have substance like

requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and

information for investors? decision-making be explicitly shown on the cover of the summarized version of prospectus. Details of the revised rules can be viewed at the SEC website: www.sec.or.th. Stakeholders

and liquid assets to fully cover its payment obligations under such contracts. # # #

appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness

fixed details, that cover several issues such as personnel’s well-preparedness, investment management, reception and delivery of funds’ assets and risk management.SEC has studied the supervision in