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...

persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to

states, related to the Metrics and Targets elements, that “GHG emissions should be calculated in line with the GHG Protocol methodology to allow for aggregation and comparability across organizations and

เรียกขอข้อมูล ภาพรวมการลงทุนหลักทรัพย์ที่ถือครองได้ทั้งหมดในลักษณะพอร์ตโฟลิโอจากทุกบัญชีที่ใช้บริการในตลาดทุน (Account Aggregation) โดยครอบคลุมผลิตภัณฑ์ในตลาดทุนทุกประเภท ทั้งตราสารหนี้ ตราสารทุน หน่วย

Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

performed the tests without determining any expected values and/or the acceptable discrepancies. Often, the methods chosen will be more effective if applied to a certain level of data aggregation than others

2- and 3-Carrier Aggregation (CA) technology. During the quarter, the competition focused on acquiring/maintaining quality customers in postpaid segment through handset campaigns and pricing strategy

calculated based on that alternate denomination. This approach of aggregating buildings in a bond portfolio is known as the Full Aggregation Method. Condition 1b: Will achieve equivalent performance over the

system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and