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...
. The debt to equity ratio under Paragraph 1 shall be considered at the time of a transaction. (2) the encumbrances shall be created on a necessary basis and related to the trust’s asset management as
news updates and prepare documentation regarding their bondholding in case it becomes necessary to confirm their bondholder status. Additionally, the bondholders should study their rights under the
(“DA operators”). This is to accommodate the clients with information necessary for their service decision-making which includes potential risks relating to DA operators’ asset keeping and use of third
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, determine the details, conditions and take any actions necessary for the purpose of stock trading, signed ALP FPI's share purchase agreement, as well as other operations necessary and appropriate in relation
investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister