in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and
, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. DAB Act S.94 in conjunction with 30
. Rebecca Mikula-Wright, CEO of AIGCC, delivered the opening remarks, with international asset managers sharing knowledge and practical experiences with over 80 participants via an online meeting on 22
Suksakorn, Director of the Data Management and Analytics Department. The purpose of the visit was to foster creativity in technology and digital innovation and to encourage the practical application of
for advancing Thailand’s digital asset businesses. This meeting was the first policy discussion in the first half of the year, apart from other joint practical meetings. It was held on 4 July 2024 at