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...
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this
.""Scammers usually try to lure investing public with a variety of ways. Mostly found today is soliciting general public to invest in derivatives on gold and crude oil, for instance, with unreal return of
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations.In this regard
) concerning the establishment of the Capital Market Development Fund (CMDF). This second consultation focuses on revising the CMDF's objectives to include necessary financial support for the Stock Exchange of
exercise caution. As such, if being soliciting to invest in securities or derivatives such as shares, gold or crude oil, you can check credibility of such claim by visiting the SEC website (www.sec.or.th
to lure investing public; for instance, soliciting general public to invest in shares, gold or crude oil. They usually offer unreasonably high returns and principal guarantee as well as quote foreign