. “It is part of the SEC Investor Education Strategy to build the public’s immunity against investment scams and equip them with knowledge and skills on financial and investment management to help them
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
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
each area. We continued to prioritize risk assessment through prudent screening and close monitoring of borrowers, and remained vigilant on risks. Meanwhile, we mainly targeted borrowers with good track
security system must be in place, which includes system readiness, service continuity, and monitoring of business partners regarding IT security and customer data privacy protection. KBank will be able to
raise fund through crowdfunding. “Equip Thai SMEs and startups with Innovations and Technologies” and “The Journey Toward the Digital Era” by the executives from the leading startup companies in
/ActandRoyalEnactment/Act/explan-digital.docx HouseStyle Decree are that the law is enacted to ensure the effectiveness of the supervision and monitoring of the activities and businesses relating to digital assets and