attack or any other damages occur. In addition, these business operators must prepare and deliver information involving calculation of net capital. In a case that net capital falls below 1.5 times of the

companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located

application with the SEC Office within 90 days (or by 14 August 2018).  In such case, the business can continue unless the application is denied.   In any case, to prevent the use of cryptocurrencies derived

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

The Securities and Exchange Commission (SEC) has considered it appropriate to designate 5 May 2023 as an additional special holiday for securities companies and derivatives business operators in line

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

Kong and Thai capital market participants and expand the business opportunities for the cross-border offerings of funds under the HK-TH MRF, following the Memorandum of Understanding between the

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน“the UN Responsible Business and Human Rights Forum, Asia Pacific” ภายใต้หัวข้อ “Mandatory