, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (Translation) 3 (5) Not being involved in the management of any mutual fund in such a
of the supervision and monitoring of the activities and businesses relating to digital assets and the transparency of such activities and https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being
irregular trading was done through five trading accounts by Shine, in his position as marketing manager, who used trader ID of Nattada and Sarunya, marketing officers under his supervision, to send trading
offence under Section 241, which is the SEC?s standard procedure. The investigation has been underway but not yet completed.2. Front running ? Despite not being subject to the criteria of an offence under
. 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
certain periods. KBank has a monitoring process and control measures in place to ensure that risk is within an acceptable level. Foreign exchange risk management 16 is under supervision of the Assets and