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...
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
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
allow more time for preparing necessary documents and ensure consistency with the guidelines for submitting other documents as required. The consultation paper is available at https://www.sec.or.th/TH
business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC
on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without
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
ASEAN Audit Regulators Group meeting. High-quality financial reports are significant in cultivating trust in the capital market. To that end, auditors play an essential role in auditing and expressing
In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have