The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

fast changing and hard-to-predict landscape, policy implementation must be timely and effective, and a key to achieve tangible results is to implement clear and efficient action plans with cooperation

) contains a salient point on amendment to the Bank of Thailand’s limited authority under Financial Institution Business Act B.E. 2551 (2008) to ensure enhanced efficiency in supervising specialized financial

followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc

operators. The proposed amendments are intended to facilitate monitoring and supervising the risk management of businesses, including systemic risk, ensure a fair and orderly market, to protect investors

UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

and risks of organizations that will link their systems to ours. Duties and responsibilities are clearly defined in the contract entered into with those organizations, while risk-monitoring measures

ผู้ยื่นคำขอกลุ่มนี้จะได้รับยกเว้นการตรวจกระดาษทำการหากสำนักงานสอบบัญชีที่ผู้ยื่นคำขอสังกัดได้ดำเนินการติดตามผล (“monitoring”) งานสอบบัญชีของผู้ยื่นคำขอนั้นภายใต้ขอบเขตและวิธีการที่สำนักงาน