financial institution in order to engage in securities transactions on behalf of its clients (omnibus accounts), securities company may merely conduct the KYC/CDD on the financial institution instead of the

debt serviceability (3) the impact on financial institution’s asset quality and liquidity risks as a result of the deterioration in household and business debt serviceability and the fiscal cliff from

Memorandum of Understanding (MOU) to strengthen mutual collaboration in capital market oversight. This collaboration aims to improve regulatory efficiency within each organization’s legal framework, creating

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, received an award plaque on behalf of the SEC, in recognition of the organization’s contribution to the network of support for children under

recommendations are structured around four thematic areas, namely: (1)  Governance: Disclose the organization’s governance of nature-related dependencies, impacts, risks and opportunities. (2)  Strategy

boards and management.(2)  Strategy: Disclose the actual and potential impacts of climate-related risks and opportunities on the organization’s businesses, strategy, and financial planning, as well as

SEC has taken into account those strategic directions in the organization’s current Strategic Plan (2023-2025), endeavoring to enhance capital market opportunities and resiliency in response to the

, agencies, companies or related parties. When such fraudulent schemes are found, suggestions for deterrence actions to be taken include issuing investor warnings through the organization’s web site(s) and

evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT

first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law