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...
necessary for fulfilling the duties of the mutual fund supervisor.
. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be
plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access. In the case where it is appropriate or necessary, the SEC Office upon approval
SELECTION COMMITTEE4 SECTION 31/3. In cases where it is necessary to appoint commissioners in the SEC or board members in the Capital Market Supervisory Board, the Minister shall appoint the Selection
and innovations to facilitate fast and convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory
convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory standards, and corporate reform to streamline
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister