of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
on Financial Data Connectivity for Enhancing the Monitoring of Suspicious Financial Transactions held in January 2026, which resolved that the SEC, in collaboration with the Anti‑Money Laundering
data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1
25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
พัฒนาการในตลาดทุน โดยเฉพาะอย่างยิ่งจากการใช้เทคโนโลยีและนวัตกรรม เช่น การใช้เทคโนโลยีปัญญาประดิษฐ์และข้อมูลขนาดใหญ่ (AI/Big data) ในการกำกับดูแลและติดตามการดำเนินงานของผู้ประกอบธุรกิจ (off-site monitoring