providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation

Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management

professional codes of ethics of derivatives business, and measures for taking actions against persons violating or failing to comply with the rules and professional codes of ethics. In this regard, the

, including the individual’s relevant roles and conduct; any penalties already imposed; the extent of damages or benefits resulting from the actions; any corrective measures or other actions that either support

following actions: (1) establish policies and measures to ensure security of information technology systems so that they meet standards acceptable to the SEC Office, or other standards accepted by the

securities and derivatives business operators, while coordinating closely with the Anti-Money Laundering Office (AMLO) to ensure alignment in regulatory direction. The key elements of the proposed measures are

implementation and serve stakeholder needs better. Eventually, this would be beneficial to all market participants and the Thai capital market.  Additional actions to be taken in the second half of this year aims

money laundering in order to enhance public confidence. This effort is undertaken through the integration of investigative processes among relevant authorities, enabling enforcement actions to be

addition, Exmix solicited and promoted the use of its services through the aforementioned websites via social media channels in the Thai language.Such Exmix’s actions are deemed to be the operation of a

compliance with the law. If the SEC finds any actions by JKN directors or persons involved to be inconsistent with the law, appropriate measures will be taken as deemed necessary.   The SEC has emphasized to