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...
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, delivered a keynote speech on "Supervision for Sustainable Growth" at the TFPA Wealth Management Forum 2023: Default & Fraud, organized by the
postponed until after the elections are completed and the new government will have clarity and continue the project. The large projects delivered in the Q1–2023 such as the Project of Government platform
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
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
provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of