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...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมกับ Bank of China (Thai) Public Company Limited, Bank of China (Hong Kong) Limited และ BOCHK Asset Management Limited จัดงาน Hong Kong
Bangkok, February 10, 2014 ? Securities and Exchange Commission (SEC) discussed with the Thai Bankers? Association (TBA) and the Association of International Banks (AIB), on the commercial banks
national strategy and Thai capital market development plan. Besides the sharing of information with OSMEP, SEC has been working with OSMEP to launch a program which allows SMEs and Startups to raise fund
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the Management Team, held a meeting with representatives from the Asian Development Bank (ADB), led by Mr. Winfried Wicklein, Director
, investors have investment options to achieve the returns they desire under acceptable risks.If such investors are persons required by the Bank of Thailand to get foreign investment allotment by SEC, the Thai
Dr. Chaiwat Wibulswasdi, Chairman, Capital Market Development Fund, revealed that the CMDF board has approved in principle by supporting the Thai Capital Market’s digital infrastructure under the
, developing and regulating securities businesses and the Thai capital market in consistence with the changing environments. In this regard, the SEC is working with the World Bank Group, an organization with
Thai Banking Academy (TBAC), the Thai Bankers’ Association (TBA) said, “With the emphasis given to knowledge development for bank employees, commercial banks have continuously trained their staff to
SEC held the “SMEs’ Road to the Thai Capital Market” seminar on Thursday, 19 December 2019. SEC Deputy Secretary-General Sirivipa Supantanet, delivered an opening speech, and Miss Ariyaporn