line with international standards and other financial IT regulations; (4) Determining additional requirements and guidelines for IT quality and IT service management, such as IT project management and
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
international standards in the area of Thai securities business. The SEC always emphasizes on anti-money laundering and announced the regulations to ensure that preventive measures against use of securities
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal
.. (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal of
) 25/2550 Re: Guidelines for Renewal of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of
) - Electrical Grids & Storage ENG THAI (unofficial) - Agriculture ENG THAI (unofficial) Standards / Principles / Guidelines ASEAN https://www.sec.or.th
guidelines issued thereunder. This allows SEC to supervise the operation of ICO portal related to IT systems more efficiently and in accordance with the oversight standards imposed on other types of
mutual funds for institutional investors (general mutual funds). This is to promote flexibility in support of guidelines of asset mangement companies under the regulations of the same standards. The