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
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
. This is to allow capable investors access to more diverse investment channels, and to strengthen competitiveness of asset management companies. The draft revisions involve: (1) determination of
of Sharing Scheme for the neighboring communities. We would like to invite anybody capable of helping others to join our social sharing activity by refilling foods or daily essentials in our pantries
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services