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...
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into account in amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to al...
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
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
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
Bangkok, August 6, 2014 - The SEC, jointly with four leading business schools, organized ?1st SEC Working Papers Forum? where the Faculty of Commerce and Accountancy, Chulalongkorn University
Bangkok, March 3, 2015 ? The SEC organized ?1st SEC Working Papers Forum, 2015? where the Faculty of Commerce and Accountancy, Chulalongkorn University presented research papers on ?Impacts of
with the electronic filing system (e-filing) of the Department of Business Development, the Ministry of Commerce. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties
Chiangmai Chamber of Commerce หรือคลิกลิงก์ https://www.facebook.com/THE.CHIANGMAI.CHAMBER/videos/857076061643967