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 SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
Expenses The selling expenses for the fiscal year 2018 and 2019 were in amounts of Baht 15.83 million and Baht 18.37 million, increasing by 16.0%. The proportion of selling expenses incurred compared to
auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed
amounts of Baht 5.34 million and Baht 5.96 million, increasing by 11.5%. The proportion of selling expenses incurred compared to total revenues for the 1st quarter of Year 2019 and 2020 were 3.1% and 2.8
, increasing by 52.5%. The proportion of selling expenses incurred compared to total revenues for the 3rd quarter of Year 2018 and 2019 were 1.6% and 1.98% , respectively. Administrative Expenses The selling
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________