matters including inability to obtain certification from the company’s management regarding responsibility for the financial statement preparation, inability to audit operating system manual in petroleum

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 https://www.sec.or.th/EN/Pages

Stock Exchange of Thailand (SET) trading system. Any person, who knows or ought reasonably to know that placing of orders to a trading system may create the price or trading volume of securities to be

systemic risk and prevention of any consequences that may affect securities trading system, where the works involved supervising securities companies to ensure their sound financial status as well as

in regulatory sandbox, covering all capital market activities )  Trading system service providers, i.e., Electronic Trading Platform (ETP), and the newly added securities trading center and derivatives

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the

to look and act beyond our frontier. With Thailand assuming as increasingly prominent role as one of Asia’s leading growth engines, we must be more engaged in the development of Asia’s financial system

. Every operating system Public task basis 3. Disclosure of Personal Data After the SEC Office has received personal data from other sources, the SEC Office has the responsibility to disclose your personal

, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the intermediary shall comply