structure of the group of companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
. Areewan Aimdilokwong, SEC Assistant Secretary-General2. Mr. Nantapong Chiralerspong, MOC Inspector General3. Ms. Pamornwan Siengsuwan, SEC Assistant Director of the Financial Reporting Oversight Department
Activities in Securities and Digital Asset Trading” and “Overview of Digital Asset Oversight.” Representatives from the Enforcement Department 1 and the Digital Asset Enforcement Department delivered the
renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and