institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1
, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
. In addition, the draft regulation is expected to further clarify the scope of supervision of digital asset businesses because they are not under state oversight. The SEC conducted a public hearing on
in various countries have expressed views and laid out guidelines for digital asset oversight that vary in degree of strictness. We take this opportunity to organize the 1st SEC Thailand
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives Clearing Houses Clause 2 A derivatives clearing and settlement system is a
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand