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...
SEC Secretary-General Ruenvadee Suwanmongkol said that while everyone is practicing social distancing to control and mitigate the impacts of the Coronavirus disease (COVID-19), small-and medium-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital technology can be a great help to business fundraising, SEC will host a series of online seminar to sha...
SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general public would face investment difficulties as they received a lot of information but could not analyze and compare a variety of investment products available or were advised to purchase individual products, especially those products for which the investment consultants receive high sales commissions or w...
sector agreed that progress in technology has played an important role in causing businesses to adapt and prepare to handle the expectations of investors in accuracy, speed of service and the need to
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
Blueprint 2025 and the Chair’s Priorities, in the dimension of the connectivity, under the 5th ASEAN Finance Ministers’ and Central Bank Governors’ Meeting in Chiang Rai Province in April 2019.
Central Institute of Forensic Science is a new dimension that will increase the chances of success in law enforcement and the deterrence of offenses in the capital market.”Police Lieutenant Colonel
Strategy "This collaboration between SEC and the Department of Industrial Promotion is considered a new dimension that will help the SEC understand the real needs, problems and obstacles. And the SEC will
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