Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
-19 crisis. This includes setting up an alternative site, installing a remote working support system, and delegating remote working teams to mitigate operational risk, to ensure that the overall
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
the COVID-19 pandemic, issues relating to remote working, operational resilience, and fraud and scam inspection will also be discussed. On 11 March 2021, EU-Asia Pacific Forum will be held and
ยั่งยืน การประเมินและติดตามความเสี่ยงเชิงระบบ และการทำงานแบบระยะไกล (remote working) รวมถึงแลกเปลี่ยนข้อมูลเกี่ยวกับผลกระทบจาก COVID-19 และโครงการต่าง ๆ เพื่อยกระดับความร่วมมือด้านการกำกับดูแลในระดับภูมิภาค
have the power to specify in its notification the rules with which derivatives business operators shall comply.