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...
investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of
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
Mekong Sub-region (GMS) countries, namely, Cambodia, Laos and Myanmar. Under the revised rules, investment diversification will be relaxed while clear and adequate information on GMS instruments must be
the invitation letters to shareholders meetings, and so forth, in order for listed companies and shareholders to have clear practice guidelines, and the Boards of Directors shall have sufficient
compliance with the governing law; (2) These ICOs have not been screened by the SEC-approved ICO portals; (3) Necessary and sufficient information on these ICOs may not be disclosed to support investors
, making it impossible for the owner to report to the SEC within the specified period of time;(4) Clear determination of the reporting date in case of obtaining shares from capital increase or convertible
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
needs and size of its business; (2) “fundraising tools” to make ones know and understand fundraisings in different forms and channels through an easy and simple presentation and have clear pictures
accounting standards as well as providing necessary training for its staff. Thawatchai Kiatkwankul, Director of Accounting Supervision Department of SEC said that ?Accounting professions such as accountants