SEC Deputy Secretary-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022
Outsourcing Function related to Business Operation to Third Party
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
OR "computerized actual" OR "automated real" OR "automated genuine" OR "digital real" OR "digital genuine"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas
/ratings; ▪ Quarterly updates of third-party ratings; ▪ Daily audits of portfolio holdings undertaken by internal compliance function or external service provider; ▪ External, independent committee or