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
paid-up capital suitable for the business nature and risks instead. In addition, the SEC Board has the power to exempt certain business undertaking from being classified as securities business such as
Today, SEC and organizations in the capital market – namely, the Stock Exchange of Thailand Group, the Federation of Thai Capital Market Organizations (FETCO), the Association of Securities
The ACMF convened its 39th ACMF Chairs’ Meeting today hosted by the Indonesia Financial Services Authority (Otoritas Jasa Keuangan / OJK). The meeting is in a hybrid format with the in-person meeting
Bangkok, January 27, 2015 ? The SEC eases investment rules to allow mutual funds for retail investors (retail fund) and private funds to invest in the GMS instruments. Vorapol Socatiyanurak, SEC
also be reasonable and not resulting in a similar situation as non-operation. The regulations aim to ease the flexibility of the operation of business providers by reporting to SEC after outsourcing
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
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
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E
regulations that are not necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen burdens on people. By doing so