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...
Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital
members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________
investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in
of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs
The event is with the objective to continuously drive forward the Thai capital market because SEC recognizes the significance of the encouragement and development of knowledge regarding finance and investment, in order to become quality investors and fundraisers. Investors will experience how to be quality investors, who are able to uphold the responsibility regarding their own finance and investment, and also build up immunity for themselves against fraudulent solicitations via a variety...
In December 2021, the SEC conducted an earlier public hearing on the proposed amendments to the aforesaid Rules, the objective of which is to accommodate the use of technology to operate business in the changing landscape and address cyber threats. Comments and suggestions from stakeholders were taken into consideration in drafting the amendments more appropriately. Essentially, the key amendments to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk ass...
-General, Mrs. Pornanong Budsaratragoon, on the topic, “Directions for Regulating and Developing the Thai Capital Market to Build Trust and Confidence and Promote National Sustainability.”Mr. Srettha