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...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
countries is a key factor in driving forward competitiveness of the region.? Ms. Patareeya Benjapolchai, SET President, noted that harmonization and cooperation were the essential keys to stability and
Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
Thai people, provision of adequate and accurate financial knowledge and information for their proper decision-making is crucial, particularly in today’s investment world where advanced technology
basic essential life skill while investment is a crucial tool for creating sustainable wealth and adding value to savings in the long term. The BAAC has the School Bank project that instills the habit
On 19 and 28 June 2018, SEC held a seminar on the topic of the I Code and the benchmark assessment of PVD at the SEC office, where over 200 PVD committees had attended. PVD plays a crucial role in
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy