e-service Online Submission See canceled document Business Operation Rules >> Information Technology Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office
Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of
offenders with the ECD Police for further legal proceedings. Anyone who may have been affected by their unlicensed securities business operation can give additional information for the benefit of the ECD
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
led Thai private sector to meet Japanese public and private sectors with a view to sharing experience and information, and visiting Japan Post Co., Ltd. for information on the Post?s operation of
funding. It is also consistent with SEC’s strategic plan that aims to support companies’ efforts to embed ESG issues into their business operation and disclose information of such action in One Report.SEC
securities business operation can give additional information to the ECD Police at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify the status of