from testing the effectiveness of the management information system and/or manual control? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal) Questionnaire_B B Communication within
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
The Cabinet has passed the resolution approving in principle the draft Ministerial Regulation concerning Granting of Approval for Undertaking Securities Business, which prescribes two additional
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
report quality, promoting an appropriate internal control system, and preventing frauds. The Securities and Exchange Commission (SEC), on September 29, 2020, held a public live talk on the topic
regulator Host country Licensed, registered or authorised Authorisation subject to local rule and regulation Maintain updated information on the status of professional Host regulator Application process Local
a duty required to be performed. charge is dropped because of the regulation is amended The law has been amended in a way that favors dropping the charge. SEC Act S.300 in conjunction with 33 Criminal
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing