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...
Spokesperson in accordance with the new organizational structure.* Currently, Mr. Anek Yooyuen holds the position of Deputy Secretary-General overseeing the Strategy and Planning Division, the Organizational
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
are different from REIT regulations. For example, the real estate-backed ICO currently lacks a mechanism for monitoring and overseeing the management of assets and for protecting the interest of
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
may affect investors. The SEC however will continue overseeing the testing of the system closely. The implementation of blockchain technology to support capital market processes under regulatory
Oversight Department Apichaya Follett led the presentation on “Overseeing the Quality of Financial Reporting Process”, followed by Director of Corporate Finance Department 3 Songyod Bunjoungmanee on the
The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal