| - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records
the Market and Organizational Risk Department, the Strategy and International Affairs Department, and the Research and Data Department, effective from 1 January 2024. Having joined the SEC since 1997
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
changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level
’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However
The Risk Management Committee (RMC), under the Securities and Exchange Commission (SEC), convened the No Gift Policy Meeting for year 2024. Mrs. Pornanong Budsaratragoon, SEC Secretary-General and
Guidelines, which cover the following key points: (1) To reduce the submission frequency of IT audit reports suitable for the risk level of small business operators and low-risk business operators to every
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young