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...
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
and Presentation in Analyst Research Reports” for capital market professionals i.e., securities analysts and fund managers. CFA Institute contributes the Guidelines to incorporate ESG factors into their
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
outsourcing contract would have to incorporate a BCM plan therein as well.?? The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments
crucial to strengthen our ecosystem, wherein capital market professionals and related stakeholders support and drive together to incorporate sustainability into their strategies and business decisions. We
this connection, the CFA Institute contributed to the drafting of the Guidelines for securities analysts and fund managers to incorporate ESG factors into their equity analysis and preparation of analyst