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...
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
’ Association. Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor
. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for
Secretary General, the Foreign Banks’ Association. (UNOFFICIAL TRANSLATION) Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of
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
Redemption and Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4