; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market
and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
been closely monitoring the situations and collaborating with the SET to allow the SET to act and consider adjusting the existing measures to align with the current situations. For example, revising the
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
Oversight Department Apichaya Follett led the presentation on “Overseeing the Quality of Financial Reporting Process”, followed by Director of Corporate Finance Department 3 Songyod Bunjoungmanee on the
SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
collaborative discussion to strategize digital asset advancement and oversight The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Thai
amends regulations on custody 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