Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and
rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling
, the SEC urged short-term debt issuers to secure a reserve fund to prevent liquidity issues. In this particular case, the company must clarify information to investors to prevent damage to the overall
Cybertron และ I-Secure และ 2) การเสวนาแลกเปลี่ยนมุมมองและประสบการณ์ของผู้ที่ปฏิบัติงานในสายงานนี้ การแนะแนวเส้นทางอาชีพในด้านที่เกี่ยวข้อง รวมถึงการให้คำปรึกษาเรื่องการฝึกงานและการสมัครงานโดยทีมงานฝ่าย
technology; (2) Defining clear roles, responsibilities, and involvement of the board of directors, including the governance body, to ensure secure, effective, and efficient IT practices and usage in the
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker