. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and
The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General – Strategy and Planning, acting as Data Protection Officer (DPO), participated in
for equity crowdfunding. Furthermore, in the case of ICOs, imposing the aggregate limit would not be an effective investor protection mechanism. This is because it would be very difficult to enforce and
procured for protection of the trading and clearing systems; (4) assets contributed by the parent company to the derivatives clearing house in the form of a written and legally enforceable commitment
investigations into the case. With regard to investor rights protection, the SEC has rendered full support in coordinating and arranging discussions with the SET, the Association of Investment Management
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
assets, technology should be optimized for innovation as well as investor protection. Promoting high-quality digital asset business operators should be a priority with close collaboration between the
Province.The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, collaborated with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank