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...
effective cybersecurity plans. SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore
accounting standards as well as providing necessary training for its staff. Thawatchai Kiatkwankul, Director of Accounting Supervision Department of SEC said that ?Accounting professions such as accountants
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
is so numerous that to conduct a case as an ordinary case shall be complicated and impractical.2 2. The consequence of the judgment The judgment of the Court shall have the consequence of binding the
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the