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...
นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน “MORAL MONEY SUMMIT ASIA 2022 – Accelerating ESG integration to unlock value and drive
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
> Activities > Activities Activities SHARE : SEC, UNDP and IOM co-organize a workshop on “Human Rights Due Diligence (HRDD) in Business Operations and Promoting Ethical Recruitment Practices” 24 July 2024 The
the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th
(HRDD) in Business Operations and Promoting Ethical Recruitment Practices” 31/07/2024 SEC participates in “Digital Asset Regulations and Trends Affecting Businesses” seminar at the DiGi-X Executive
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of