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...
as local wisdom, art and culture or creativity based businesses, such as alternative energy, software, movies, contents and animation industries. Knowledge on fund raising and required preparation will
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
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
agencies have laid out policies to promote and support enterprises whose main objective is to solve social and environmental problems through creativity and innovations. Such enterprises can also generate
and services to propel recognition of Thailand?s innovation and creativity worldwide.Vorapol Socatiyanurak, SEC Secretary-General said that the SEC has encouraged creative-based businesses, such as
-financial-innovation Nakarin Amarase, Ph.D. Head of External Affairs, Corporate Strategy Function, Siam Commercial Bank PCL. SEC Capital Market Symposium 2023 Financial Innovation Economic Growth Creativity