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...
without any regulations governing the cryptocurrency. To Thailand, regulating Libra with the existing laws may be difficult. More consideration must be taken on whether or not Libra is money, who can be
exempting fees for application and filing submitted during February 1, 2021 and December 31, 2023. We hope this exemption will further reduce a burden to private sector in this difficult time.”
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
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
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation
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
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