of clients’ assets in digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability
and reliability enhancement of such business operator to protect investors. This means the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9337 ก.ล.ต. จัดงานเสวนาออนไลน์SEC Thailand International
comprises strategies for capital market reform with the core objectives of strengthening the market foundation and reliability and building on its role as the country’s major economic driver conducive to both
, the Company can manage effectively of product merchandising for high margin items. The Company also gain reliability from ZIGA and DAIWA brand for their standard and recognition. ZIGA and DAIWA has
digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business
the TSQC 1 requirements and our observations. However, we still identify the observations on monitoring process in some audit firms, as follows: • The monitor ing guidel ine in firm-level and engagement
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor