For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
and confidence among Thai and international investors,” she added. __________________________
of trust and confidence in the Thai capital market. This goes beyond the SEC having effective supervision, concrete law enforcement, swift detection of abnormalities, and prompt imposition of
Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital
In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...
members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs