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...
about saving and investment. Commercial banks and the TBAC are therefore pleased to be part of this important campaign and would like to confirm our commitment to further help promote sound financial
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
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
ratings of both the branches and the foreign banks. For issuances of short-term debt securities by the branches with sound financial condition and a minimum of specified capital requirement, however, rating
, by making sound investment decisions, and effectively monitoring the investments, business and ESG performance of Investee Companies. Investment Governance Code 37 1.1.3 Define roles and
remuneration, financial disclosure, the behaviour of institutional investors, boardroom practices and the functioning of stock markets. Sound corporate governance is an essential element for promoting capital