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...
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
to their operations. KBank has put in place the necessary procedures relative to IT risk and IT security management in compliance with the Notification. 7 2. Risk Management and Risk Factors 2.1 Credit
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
,” and a discussion on “Notable Accounting Tips for SMEs.” Over 130 SME operators and executives and employees of the Department of Industrial Promotion attended the event, held at SEC Office
by employees in case of change in an employer; (2) Employees are entitled to leave for necessary business for no less than three working days per year; (3) A pregnant female employee is entitled to
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