demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the

The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and

SEC Secretary-General Ruenvadee Suwanmongkol, along with SEC Deputy Secretary-General Sirivipa Supantanet, and management team met with H.E. Mr. Sou Socheat, Director General of the Securities and

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

facilitating the exchange of information for the purpose of law enforcement, elevating capability and quality of capital market personnel, and enhancing bilateral cooperation to promote business growth and

Certified Public Accountants (AICPA), Financial Executives International (FEI), the American Accounting Association (AAA), The Institute of Internal Auditors (IIA), and the Institute of Management Accountants

is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy disclosed in the mutual fund schemes and

in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and

risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to

works and allocate its resources for business continuity management effectively by taking into account of impacts, either financial or non-financial, on customers, personnel, subsidiary companies