The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
supporting escrow agency businesses, while the method for deposit certification/deposit notification has been amended to accommodate electronic channels. 4. Two Electronic Transaction Acts: 4.1 Electronic
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
ครอบคลุมการดำเนินการอย่างน้อย ดังนี้ (ก) กำหนดผู้รับผิดชอบต่อความเสี่ยง หรือเจ้าของความเสี่ยง (risk owner) (ข) ระบุการควบคุมที่มีอยู่ในปัจจุบัน (existing control) (ค) วิเคราะห์โอกาสหรือความถี่ที่จะเกิด
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
various channels, thus ensuring that electronic financial services provided by financial institutions, including commercial banks, are effectively resilient to cyberattacks. 2. Unemployment and