supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
Director, Corporate Governance Department3. Mrs. Sittasri Nakasiri Director, Enterprise Risk Management Department4. Ms. Sarica Apiwatthakakul, Acting Director, Intermediaries Licensing and SME Financing
comprises Strategy and Planning Department, Research Department, Market Supervision Department, International Relations Center and Enterprise Risk Management Center. Assistant Secretary-General Duangmon
must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
directors are as follows:1. Mr. Ekapon Sawaengsri, Director of the Market and Organizational Risk Department2. Mrs. Sittasri Nakasiri, Director of the Intermediaries Policy Department3. Mr. Pariya
phireeyaphon@sec.or.th. The public hearing ends on 23 October 2023.________________________Remarks: * Based on the principle of “same risk, same supervision outcome.” ** the Digital assets specified under
business operators under the Bank of Thailand’s (BOT) supervision. This includes appropriate control, supervision, and risk preventive measures through relevant regulatory agencies, without allowing digital
diverse products suitable for investors? different risk profiles while preparing the Thai capital market for linkage with international counterparts and increase channels for fund mobilization of business
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities