monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
-19 crisis. This includes setting up an alternative site, installing a remote working support system, and delegating remote working teams to mitigate operational risk, to ensure that the overall
the COVID-19 pandemic, issues relating to remote working, operational resilience, and fraud and scam inspection will also be discussed. On 11 March 2021, EU-Asia Pacific Forum will be held and
ยั่งยืน การประเมินและติดตามความเสี่ยงเชิงระบบ และการทำงานแบบระยะไกล (remote working) รวมถึงแลกเปลี่ยนข้อมูลเกี่ยวกับผลกระทบจาก COVID-19 และโครงการต่าง ๆ เพื่อยกระดับความร่วมมือด้านการกำกับดูแลในระดับภูมิภาค
ลงทุน (digital assets & cryptocurrency) การทำงานแบบระยะไกล (remote working) ความยืดหยุ่นในการดำเนินงานของผู้ที่เกี่ยวข้องในตลาด (operational resilience) การตรวจสอบการทุจริตและหลอกลวง (fraud and scams
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment