Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators
processes to enhance the SEC’s investigative authority, particularly in high-impact cases. Further efforts will also focus on disclosure standards and oversight of market professionals. Regarding digital
management committee, an investment committee or an operational oversight committee, etc, or advisors of such committees. 2 (4) “departmental director” means a person who is in charge of internal affairs of a
AMLO Chairman Chatchai Phromlert and AMLO Secretary-General Theppasu Bavornchotidara emphasized AMLO's pivotal role in capital market oversight as a regulator of SET's securities member companies
interest entities; and - Exercising that responsibility either directly or through independent oversight. Reference : เอกสารแนบ 1 2 https://www.ifiar.org/IFIAR/media/Documents/General/About%20Us/Charter
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the