whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent
The MOU is a fruitful result of the collective cooperation of the four organizations in ensuring that their respective policies and oversight frameworks for personal data protection as well as
Secretary-General Pornanong Budsaratragoon said: “The SEC focuses on both the development of the digital asset market and the supervision of digital asset business operators. We consider the characteristics
misunderstanding that deposit taking and lending services are under the same supervision as regulated digital asset businesses. Under the SEC’s policy, digital asset business operators are not allowed to provide or
governance, which include prevention, deterrence and suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight
delivering value to the benefit of beneficiaries or clients over the appropriate time-horizon. 1.2 Independent oversight Institutional investors should be led by boards or other governance structures that act
adjusting supervision and operation in compliance with the law on digital technologies to ensure that transactions in the Thai capital market are in line with the law. We also foster creation of digital
monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
Regulations SHARE : Detail Content Regulations Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators Registered
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not