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...
provides exit opportunity for incumbent shareholders. • Banning RTOs or raising regulatory barrier not necessary. • Improved communications to investors and media to avoid misunderstanding 28 One who
, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding
-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs . As such, “SEC finds it necessary to enhance knowledge and understanding concerning
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engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
, it also served as a forum for leading institutional investors, financial firms, and public sector leaders to further engage on how disclosure and governance could be improved to ensure that
.pdf E_1 Legal_FA_2015_12_29-c lending are implemented. For deposits, pricing competition may be limited as most banks have turned their focus to improved capability in gaining access to new customers
in domestic branded sales from new packaging launch, new crop season for canned fruit, improved domestic CMG sales plus good response of new product as well as continual growth of export branded sales
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