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

proposal also cover trust related transactions.Meanwhile, minimum capital requirement, reporting requirement and guidelines for the asset management companies being unable to maintain adequate capital are

: 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

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

’ 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

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

addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all

personnel in Thai capital market to better accommodate investors? diverse needs. The proposed revisions cover issues, for example, the approval regime for technical analyst and determination for persons

limitations. As a result of this proposed amendment, the Regulatory Sandbox would cover both pre-trading and post-trading activities in the capital market. The consultation paper is available at https

according to the Service Level Agreement;  3)    Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business