business work systems. The SEC Board has passed a resolution approving the proposed amendments to the digital asset business licensing process and endorsing the proposed amendments to the regulations
Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
) Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies
, including the components, structure, and responsibilities of company boards, internal control systems for governance, as well as guidelines for monitoring and tracking transactions of listed companies and
market regulatory agency; (2) The SEC will consider the participants’ qualifications in various areas, including capital adequacy, work systems, management structure, and conditions for relevant
, revising the conditions for obtaining a license to allow applicants to choose whether to engage in mutual fund or private fund management, thus avoiding the burden of setting up systems for services they do
economy. In this regard, the AIMC will consider various suitable fund models and benefit proposals in the future. Furthermore, the SEC will advocate for the integration of the country's pension systems and
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules
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
factual misstatements, limitations of the accounting systems, insufficient internal coordination, and the lack of awareness of the role and duties of the chief financial officer (CFO) and accountants in