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

of the supervision and monitoring of the activities and businesses relating to digital assets and the transparency of such activities and https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act

Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related

Prevention and Development Division and Market Intermediaries Division.         1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate

objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most

The SEC emphasizes the monitoring of risks related to capital market and the development of digital capital market, covering the areas of supervision, service provision of business operators, and

, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse

, stated: “In this case, the SEC has been closely monitoring the operations of digital asset business operators. We reiterate that all operators providing WLD coin services must comply with regulations

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