for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1

with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Gulf Binance submitted 26 reports of the results of monitoring and inspecting trading conditions (Daily

procedures stipulated in the relevant notification. In this regard, Z.COMEX submitted 23 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from January 21

stipulated in the relevant notification. In this regard, INVX submitted 22 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from January 18, 2025 to March 29

criminals. The SEC and the TDO have jointly developed guidelines for monitoring and investigating suspicious accounts. In today’s meeting, apart from enhancing industry standards to tackle digital asset mule

are different from REIT regulations. For example, the real estate-backed ICO currently lacks a mechanism for monitoring and overseeing the management of assets and for protecting the interest of

(Product and Distributor Monitoring) 14 4.1 การติดตามผลิตภัณฑ์กองทุนรวม (Product Monitoring) 14 4.2 การติดตามการท าหน้าที่ของตัวกลางในการเสนอขายหน่วยลงทุน (Distributor monitoring) 14 แนวปฏิบตัิในการออกเสนอ

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be