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...
supervision, initiate cooperation and address key challenges, which can lead to common practices at the regional level in the future. IOSCO APRC Meeting will discuss important and challenging issues such
capital market policies, challenging issues, and mutual cooperation. On this occasion, Secretary-General of the SEC Thailand cordially extended an invitation to CMA to attend the IOSCO Annual Meeting 2023
capital market policies, challenging issues, and mutual cooperation. On this occasion, Secretary-General of the SEC Thailand cordially extended an invitation to CMA to attend the IOSCO Annual Meeting 2023
The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure
expenses. Besides, low-risk products offer low-return, while high-risk-high-return products come with high volatility. All of these factors make it more challenging to ensure sufficient post-retirement
challenging environments, building strengths and competitive edge, creating services that meet the demands of investors and stakeholders, and promoting the Thai capital market’s global competitiveness, which
Reporting Reform, said ?the AARG has done exemplary work to promote regional knowledge sharing in the challenging area of audit regulation. We seek to support its efforts to raise audit quality and strengthen
exempting fees for application and filing submitted during February 1, 2021 and December 31, 2023. We hope this exemption will further reduce a burden to private sector in this difficult time.”
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________