a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
Supervision of Domestic Systemically Important Banks (D-SIBs), and SorNorSor.17/2560 regarding List of D-SIBs, published in the Government Gazette on September 25, 2017, and effective on the day following its
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued
Bangkok, 14 March 2021 – The Securities and Exchange Commission (SEC) has appointed Ms. Naovarat Chantavanich as Assistant Secretary-General – Internal Excellence Division, in charge of the Finance
Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a securities
the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a