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...
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
sector agreed that progress in technology has played an important role in causing businesses to adapt and prepare to handle the expectations of investors in accuracy, speed of service and the need to
Report of Important Events of Mutual Funds and Property Investment Trusts and Infrastructure Investment Trusts
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
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
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:19 Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics
important are intangible assets impairments?” และ “เกษียณจนเจ๊ง ภัยซ่อนเร้นจากภาระผูกพันผลประโยชน์พนักงาน (How important of Employee Benefit Actuarial Valuation)” เพื่อพัฒนาองค์ความรู้และร่วมแลกเปลี่ยน
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