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...
The SEC has implemented the initial intensive measures for securities public offering companies and listed companies that commission carbon footprint preparation reviewer in accordance with the Notification of the Office of the Securities and Exchange Commission No. Sor Mor. 18/2564 Re: Measures on Fee Deduction for Filing the Registration Statement for Securities Offering and the Annual Registration Statement for Companies Disclosing Greenhouse Gas Emission Data, dated 10 March 2021. The fee de...
fund investing in an MRF-eligible Thai or Hong Kong master fund and to clarify how they may be operated in a streamlined manner.“This new cooperation framework signifies a major expansion of our MRF
raising channel for expansion of foreign businesses and economies while providing a variety of investment choices for investors. Regulations on primary listing and dual offering are in line with those
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
through this channel will help facilitate their business expansion and development as well as foster their competitive edge at domestic and international levels. To this end, more jobs would be created and
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations.In this regard