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...
Fund 4. Futures Exchange To provide the Thai capital market with risk management tools considered a necessary fundamental for the capital market development, the SEC will push forward an establishment of
Fundamental Investment Analyst on Derivatives