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...
On 20 November 2023, JKN submitted information through the SET Electronic Information System regarding an issue where certain board members did not receive the invitation to the Board of Directors
SEC plans to issue additional requirements relating to the structure of the Board of Directors and Management of IPO companies and listed companies to the current regulations on the check and
well progress in developing its computer system but so far technical issue is the most important problem due to securities companies? different internal software applications. As a result, there are
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research
certificates can only be discovered when deposited into Thailand Securities Depository Co., Ltd. (TSD)?s system. The problem is an urgent issue which the SEC and TSD are discussing to find the solution. One
for utilising resources more effectively. Having realized the importance of solving the problem sustainably and comprehensively through the involvement and cooperation of the civil society, public
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from the date of