With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
operators had liquidity problems and risks exposure on their asset keeping, the SEC, on 30 December 2022, had therefore instructed DA operators to provide their clients with information disclosure and risk
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officers of asset management companies to discuss and share views on business development and the board of directors’ roles are responsibilities regarding liquidity risk supervision. Now, the SEC is
model and creating anti-corruption culture for Thai private sector.Meanwhile, the SEC has encouraged listed companies to be aware and well-rounded of business risks, particularly risk of cyber-attacks, to
events leading to fluctuations in the investment management business, a significant impact could produce an effect on the overall financial system of the country.SEC therefore needs to revise report