the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
The Securities and Exchange Commission (SEC), represented by Ms. Nopnuanparn Pavasant, Assistant Secretary-General, Ms. Cholthida Phakdeethai, Director of the Digital Asset Supervision Department
shall at least be the head of the department or a person holding any equivalent position otherwise called under a different name but in charge of a line of work relating to the derivatives business
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
/05/2563 วันที่ตอบ : 07/05/2563 คำถาม : ผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (Head of compliance) ถือเป็น
procedures as specified in the notification. In this regard, CoinsTH failed to appoint a new highest-ranking person taking responsibility in a compliance unit ("Head of Compliance") by the date
บริษัทหลักทรัพย์จัดการกองทุน เรนเนสซานซ์ จำกัด เมื่อวันที่ 2 มิถุนายน 2565 บริษัทหลักทรัพย์จัดการกองทุน เรนเนสซานซ์ จำกัด แจ้งผ่านระบบ ของสำนักงานว่า พนักงานรายหนึ่งของบริษัทเริ่มปฏิบัติหน้าที่ Head
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the