Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
lower amount of such information disclosed in the first filing with the SEC. This could be considered that one of the two directors had lacked qualifications for being independent director. 2. Monitoring
monitoring listed companies? performance, the SEC did not grant further extension of deadlines for AIE and AI as requested. In this regard, AIE and AI must submit the said financial statements urgently. For
Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
financial products. For the best interest of the fund members, they should also be well-versed in selecting asset management companies, monitoring and assessing performance of asset management companies to
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
Stock Exchange of Thailand; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private