director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
than the regulated entities under our own supervision. The governance framework was approved by the SEC Board on October 1, 2007. It has been reviewed periodically since then to ensure appropriateness
(KYC) process.(2) Encouraging the use of the NDID platform for the elimination of redundancy in identity proofing process. The platform is trustworthy regulated under the laws, decreases the burden
supervision (i.e., listed companies, brokers, dealers, asset management companies and collective investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993
supervision (i.e., listed companies, brokers, dealers, asset management companies and collective investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993
governance.” Ms Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “SEC gives high priority to personal data protection and urges all SEC’s regulated entities as well as related parties to be
Act B.E. 2546 (2003) which contains certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41
Exchange Act (No. 4) B.E. 2551 (2008) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41
Securities Companies _____________________ By Virtue of Section 106 of the Securities and Exchange Act B.E. 2535 (1992) which contains certain provision relating to restriction of rights and liberties of