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...
SLBS The ASEAN SLBS are aligned and guided by the five core components of the SLBP, i.e. selection of KPIs, calibration of SPTs, bond characteristics, reporting, and verification. Key additional features
investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a
asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a bridge connecting the
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
be guided by the following five fundamental ethical and professional principles: 1. Integrity 2. Objectivity 3. Professional Competence and Due Care 4. Confidentiality 5. Professional Behaviour Some
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