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...
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
, morality and ethics, which will be useful for the fourth and fifth-year reserve officer training cops students to live their lives and do their work in the future. The SEC officials will give lectures on
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
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
Project aims to enhance national transparency, boost morale, applaud governmental organizations’ exemplary role, and promote corporate value of management based on good governance, professional ethics
businesses during the suspension period.SEC reiterates that personnel in capital market businesses must perform duties or provide services with integrity and act in accordance with ethics or professional
courses on good corporate governance to promote ethics, morals and codes of professional conducts for utmost benefit of the clients. Vorapol added that ?Personnel in securities and derivatives businesses
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree