SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...

feasibility of supporting expenses for human resource development, investor base expansion and IT system development in order to raise the business operating standards which will be beneficial to the

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk

beneficial to the operation of SEC Caravan to Provincial Areas project driven by and with the collaboration of the province and local agencies concerned, and the major issues are concluded as follows

securities or investment units. “major shareholder” means a shareholder or a beneficial owner of shares in the amount more than 10% of the total number of voting rights of the applicant. For the purpose of the

a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner

person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3

, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well