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...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
crucial and indispensable aspect is the collaboration from all sectors in propelling the Thai capital market as a driver of economic development, addressing the national needs efficiently and effectively
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fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
of resource s is also an indispensable priority. At the international level, CSR concept was recognized at the Earth Summit in 1992, where the concept of “Sustainability Development” was
of resource s is also an indispensable priority. At the international level, CSR concept was recognized at the Earth Summit in 1992, where the concept of “Sustainability Development” was
of resource s is also an indispensable priority. At the international level, CSR concept was recognized at the Earth Summit in 1992, where the concept of “Sustainability Development” was
of resource s is also an indispensable priority. At the international level, CSR concept was recognized at the Earth Summit in 1992, where the concept of “Sustainability Development” was
before offering the newly added investment policy to the PVD’s fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment