เมื่อวันที่ 15 มิถุนายน 2566 ก.ล.ต. ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group โดยในที่ประชุมได้มีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และได้ประกาศว่า IOSCO ได้

gathering related documents and evidence for auditor. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed

well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality

guideline for selecting a suitable asset management companies and monitoring fund performance;  5) To provide a fact sheet for fund members to choose an investment plan; and  6) To provide information on

customer due diligence (CDD) to ensure a more comprehensive assessment aligned with customers’ income and occupation profiles, alongside ongoing monitoring of investment behavior. Where red flags are

this regard, the SEC Office shall deliberate the appropriateness under the following rules: (1) having explicit policy and objective in respect of member supervision and promotion of the appraisal

[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the

://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and Digital Asset Fund Manager https://www.sec.or.th/EN/Pages

B.E. 2561 (2018), which  became effective https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and