of different intermediaries amid the fast changing industry and technological environments. Some of the first focuses of the principles-based supervision include company policy, compliance system, risk
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the
Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...
Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators
SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...
[COMPANY NAME] EFORL IR010/2018 March 20, 2018 Subject: Management Discussion and Analysis Yearly Ending 31 December, 2017 To President The Stock Exchange of Thailand 1. Overview financial
[COMPANY NAME] ที่ EFORL IR010/2561 20 มีนาคม 2561 เรื่อง ค าอธิบายและบทวิเคราะห์ของฝ่ายบริหาร ส าหรับปี สิ้นสุดวันที่ 31 ธันวาคม 2560 เรียน กรรมการและผู้จัดการ ตลาดหลักทรัพย์แห่งประเทศไทย 1. ผล