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...
mechanism and be able to raise fund in capital market, while investors can find out information about the qualifications of potential SMEs and Startups that would be valuable choices for investment. In
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practical challenges, providing valuable insights for auditors to apply in their financial audits of IPO and listed companies. The event was held at the TFAC Building on 12 January 2024.
provides that necessary tool to deepen private sector ESG alignments. The UN in Thailand very much looks forward to continue assisting the country’s historic green transition towards a prosperous, low-carbon
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