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...
aims to promote ASEAN capital markets as a driving force for sustainable development and an investment destination recognized by global investors in line with the concept of Advancing Partnership
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
amendment contains transitional periods to ensure that audit firms would have sufficient time to make necessary preparations. The SEC’s discussions in this regard with the Thailand Federation of Accounting
capital market to prevent fraud. The concept to set up an investor protection fund is another initiative to help strengthen investor protection in the Thai capital market, making it more systematic and
concept that the Thailand Taxonomy Phase I would initially prioritize the economic activities that contribute significantly to greenhouse gases. Other views and suggestions were also submitted. For
in place, and disclose sufficient information.The SEC oversight is generally based on the concept of moving toward standardization and emphasizes measures for business development and mechanism for
been amended to be more in line with the needs and risk characteristics; (4) Distributed Ledger Technology (DLT): To develop a digital infrastructure based on DLT concept for securities offering
นวัตกรรม ขยายผลการใช้ประโยชน์จาก open data ของ ก.ล.ต. (SEC open data) โดยมีวัตถุประสงค์เพื่อกระตุ้นไอเดีย ให้คำแนะนำในการเตรียมความพร้อม และแบ่งปันเทคนิคการจัดทำข้อเสนอเชิงหลักการ (concept proposal
amendments do not apply to property funds and infrastructure funds.SEC is therefore seeking public comments on 13 draft notification amendments following a public hearing on the concept released at the