SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...

แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment

business operations and mitigate undesirable impacts especially    the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational

Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

effective cybersecurity plans.  SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore

capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the

corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of

)  Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2)  Reviewing regulations to be up-to-date and consistent with other regulations on other types