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 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

the purpose (Loan against Securities: LAS) deviates from the intended purpose of margin loan transactions.The SEC therefore deems it necessary to amend the regulations regarding margin loans to enhance

maybe. Families and guardians can make more specific and clearer educational plans for their children. ?However, such EMF schemes will touch upon tax policies and require robust monitoring and

Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business

items for annual general meetings and extraordinary general meetings, to require the persons proposing the agenda item to possess sufficient information and supporting documents, to specify details in

market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future