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...
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 25/03/2022 - 05/04/2022
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 18/11/2020 - 30/11/2020
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 21/03/2022 - 01/04/2022
KASIKORN ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 21/11/2023 - 18/12/2023
PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| ,Retirement Mutual Fund : RMF | Offering Date : 22/11/2004 - 03/12/2004
บริษัท หลักทรัพย์จัดการกองทุนกสิกรไทย จำกัด|กองทุนรวมหน่วยลงทุน (Fund of Funds) | วันที่เสนอขาย : 21/11/2566 - 18/12/2566
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
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