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...
proactive teamwork to further advance joint initiatives in various areas such as promotion of listed companies’ adoption of Sustainable Development Goals. The meeting took place at the SEC Building on 5
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
capital market and the digital economy at large. “We would like to sincerely thank all TDO members for joining this transformative occasion to strengthen our cooperation and proactive teamwork to further
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