Automatically generated PDF from existing images.
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 is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
.___________________________Remark:Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to
appropriate action as necessary. • Confident to manage investments and make adjustments. • Motivated to be kept informed about existing investments and take necessary actions. 5 A. AWARENESS AND KNOWLEDGE, i.e
declares a dividend same as the Company's existing shareholders. 8. Other details necessary for shareholders to approve the capital increase and share allotment The offering of newly issued shares by way of
representatives from Thai listed companies. These joint seminars aimed to help listed companies make necessary preparations for adopting good corporate governance principles to create sustainable values for their