application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
พัฒนาการในตลาดทุน โดยเฉพาะอย่างยิ่งจากการใช้เทคโนโลยีและนวัตกรรม เช่น การใช้เทคโนโลยีปัญญาประดิษฐ์และข้อมูลขนาดใหญ่ (AI/Big data) ในการกำกับดูแลและติดตามการดำเนินงานของผู้ประกอบธุรกิจ (off-site monitoring
ethical requirements and quality Performance ? 4 Is the work of all registered auditors in the firm, including partners, subject to quality review from network firm or monitoring unit and appraisal? If yes
investment portfolio 3) implementing the portfolio according to the asset allocation plan 4) monitoring and rebalancing the portfolio 5) providing consolidated
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
elements of the financial reporting ecosystem, from better education and training to more rigorous monitoring and enforcement. And it is only when the appropriate processes are in place and the people
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
established entities to oversee state-owned enterprises (SOEs) (for example, Temasek Holdings in Singapore, Khazanah Nasional in Malaysia, and the State-owned Assets Supervision and Administration Commission of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าพบ Mr. Claude Marx, Director General, Commission de Surveillance du Secteur Financier (CSSF) หน่วยงานกำกับดูแลตลาดการเงินของราชรัฐลักเซ