be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with (1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing security pitfalls previously causing IT incidents in the capital market, and (4) the updated IT rules and g...
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
international standard. The indicators will be of use in assessment of two aspects, namely CSR Progress Indicator and Anti-corruption Progress Indicator, ranging from basic to ultimate level of development. With
contributions to social and environmental issues and in their SEC’s 56-1 One Report Disclosures.The SDG Impact Standards are voluntary internal management standards designed to help businesses and investors embed
internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee
internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee