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
legal execution against offenders. It is the integration of collaboration between the three agencies, supporting the functions of each agency including exchanging information, knowledge and expertise in
turn to share knowledge and experience relating to the setting up of similar funds in their respective countries and how to handle investor complaints and manage disputes. During the panel discussion
the clarification of the person(s) against whom the complaint is filed, and whether an explanation is sufficient for further legal proceeding; ● In case of a dispute between an investor and an
and details in this case. It is available on the SEC website at the link: www.sec.or.th/zipmexform. Earlier, the SEC instructed Zipmex to arrange a communication service system for its clients and to
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
During the meeting, both parties discussed the importance of enhancing cooperation between CSRC and SEC Thailand based on MoU signed in 2007, in response to global and regional challenges, and
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and