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 investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ในหัวข้อ “Easy listening: เกร็ดความรู้ด้านบัญชี ที่ AC ไม่ควรพลาด EP.2” เพื่อเสริมความรู้ความเข้าใจให้กรรมการตรวจสอบ
/starttogrow) for SMEs, Startups and interested public. The presentation and functionality of this microsite focus on the simplicity and nice-looking features and contains easy to understand contents. It is
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ในหัวข้อ “Easy listening: เกร็ดความรู้ด้านบัญชี ที่ AC ไม่ควรพลาด” เพื่อเสริมความรู้และความเข้าใจให้แก่กรรมการตรวจสอบ
of securities to prevent excessive burdens on debt issuers; (3) Revising regulations to be clearer, concise and easy to understand. The consultation paper is available at https://www.sec.or.th/TH
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and