appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or
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...
that can serve as a foundation for assessing the operational risk to nature. Among them, the TNFD framework stand out as a suitable starting point. The Task Force on Nature-Related Financial Disclosures
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
three years preceding the year when the application is filed up until the date of registration as a qualified fund supervisor, not have operational records indicating the nature of deceit or dishonesty or
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)