underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
has been set up clearly with proper check and balance mechanism. Even SEC Secretary-General is unable to intervene the procedure, said SEC Secretary-General Thirachai Phuvanatnaranubala.
of action against the impersonating Facebook account. In addition, the SEC has set up a special investor support team to give assistance and advice to BX clients via 24-hour Help Center Hotline 1207
the capability of the derivatives broker in undertaking derivatives business continuously, the derivatives broker shall set up an implementation plan or measures in the case where derivatives broker or
assure the capability of the derivatives broker in undertaking derivatives business continuously, the derivatives broker shall set up an implementation plan or measures in the case where derivatives broker
broker shall set up an implementation plan or measures in the case where derivatives broker or service provider terminates contract or the service provider can no longer provide service for derivatives
securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no
the securities company in undertaking securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider
capital market supervisory board will be set up and chaired by the Secretary-General. The new law will allow the SEC Board to focus on capital market policy matters while leaving the power to issue rules