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...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
seminars underscore SEC Thailand’s commitment to building a sustainable capital market by equipping investment professionals with essential ESG knowledge and analytical tools, ensuring they are well
capital to green investments that are essential in driving sustainable growth in Thailand.”Mr. Andres Vinelli, Chief Economist, CFA Institute added “Climate change is not a future event waiting to happen
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
, especially for essential products for repair and maintenance, emergency home services, products related to cleaning, hygiene and healthcare, items supporting working from home, kitchen appliances, and home