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...
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
to check if they are ready before making an investment decision as to whether they understand digital assets, understand the right to be received from digital assets, and understand and accept the
/starttogrow) for SMEs, Startups and interested public. The presentation and functionality of this microsite focus on the simplicity and nice-looking features and contains easy to understand contents. It is
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
key sections : (1) Investment planning: Proving information on tools to assist investors to understand themselves better and plan their investments more effectively, such as tools for
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once