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...
ตลาดหลักทรัพย์แห่งประเทศไทยเป็นแห่งแรก (primary listing) ได้ โดยมีแนวทางการอนุญาต ดังนี้ 1. จัดตั้งอยู่ในประเทศที่มีมาตรฐานของกฎหมายและกฎเกณฑ์เป็นที่ยอมรับได้ในด้านการคุ้มครองผู้ลงทุน การกำกับดูแลกิจการ
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
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