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...
sector agreed that progress in technology has played an important role in causing businesses to adapt and prepare to handle the expectations of investors in accuracy, speed of service and the need to
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
-prepared to adapt to the evolving demands of responsible investing.Mr. Richard McGillivray. Senior Director, Product Advocacy and Education, Asia Pacific CFA Institute said: “Environmental, Social and
agencies stand ready to consider various options and will publish further guidelines in relevant matters for listed companies to adapt for handling the situation,” said Ms. Ruenvadee
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ได้รับเชิญเข้าร่วมเสวนาในหัวข้อ “How Thailand’s Capital market can adapt to the changing world” ภายใต้งาน
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opportunity for business to adapt towards sustainability using technology advancement and also the changes in resources demands during COVID-19 pandemic. In addition, stakeholders, such as investors