for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
the Securities and Exchange Commission is empowered to establish policies, criteria and supervision of digital assets and digital asset business operators for the purpose of using these assets as
financial institutions (4) Risk supervision and consumer protection (5) Lending prohibitions (6) Asset classification and provisioning (7) Asset management and maintenance of reserve requirement (8
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued
of derivatives exchange to be in consistent with cost in connection with supervision on such business borne by the SEC Office.
who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the same persons