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...
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
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
early increase chances of achieving happy retirement.The SEC Working Papers Forum has been hosted under the Memorandum of Understanding between the SEC and four leading business schools, aiming to apply
has partnered with SET, the Association of Provident Fund (AOP), and the Association of Investment Management Companies (AIMC) to officially launch the program “Happy PVD Company”, which promotes and
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
Happy Money Happy Retirement Project; - Thailand's Private Sector Collective Action Coalition Against Corruption (CAC): Member companies are encouraged to lay out and implement anti-corruption policies
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