business personnel to reduce costs for the aforesaid personnel, enhance oversight efficiency and facilitate fast and convenient processes. The proposed amendments would be useful for both business
specified conditions, such as qualifications and disqualifications, more flexible approval process, including rules on performance of services similarly to the current rules on oversight of investment
become effective since 15 December 2022. Pursuant to ISQM 1 and ISQM 2, audit firms are required to have a quality management system which gives more oversight responsibilities to executive auditors, while
, and a talk on the topic of “Investment in Islamic Mutual Funds Under SEC’s Oversight” was also held and joined by Ms. Charuphan Intararoong, SEC Assistant Secretary-General, Mr. Thanachote Rungsitivat
, financial policy formulation, financial supervision and market oversight, covering banking, insurance and capital market sectors. The SEC and FSC are both members of the International Organization of
continuous basis. The implementation of the plan will optimize the balance and lay down a solid foundation in the entire system, rather than focusing on stringent oversight on the third line of defense as
TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers